Financial Stability Oversight Council Reform Act

Shark Fin Trade Elimination Act, S.793, H.R. 1459 & H.R. 5248 Sustainable Shark Fisheries and Trade Act of 2018, H.R. 5248 & S. 2764

Client expense: Not reported · Firm income: $5,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption H.R. 3312 Bank Holding Companies and Enhanced Supervision S. 1579 Consumer Financial Protection Advisory Boards S. 1744 Securities and Exchange Commission Regulations H.R. 4061 Financial Stability Oversight Council H.R. 4293 Comprehensive Capital Analysis and Review Process H.R. 4302 Congressional Accountability for Emergency Lending H.R. 4625 Development & Implementation of Artificial Intelligence H.R. 5266 Financial Product Safety Commission S. 2217 Development & Implementation of Artificial Intelligence H.R. 5470 Office of Financial Research H.R. 5534 Procedures for Guidance S. 2702 Authority of Bureau of Consumer Financial Protection H.R. 6741 Monetary Policy Transparency and Accountability H.R. 2133 CLEARR Act of 2017 S. 3443 Consumer Financial Protection Guidance Procedures

Client expense: $1,070,000 · Firm income: Not reported

H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); H.R. 4790 (Volcker Rule Regulatory Harmonization Act); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda); Federal Reserve and FDIC comments on a stress capital buffer (SCB) and an enhanced Supplementary Leverage Ratio (eSLR).

Client expense: $1,550,000 · Firm income: Not reported

H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); H.R. 4061 (Financial Stability Oversight Council Improvement Act of 2017); H.R. 4785 (American Customer Information Protection Act); H.R. 6021 (Small Business Audit Correction Act of 2018); H.R. 6035 (Streamlining Communications for Investors Act); H.R. 6130 (Helping Startups Continue to Grow Act); H.R. 6139 (To require the Securities and Exchange Commission to carry out a study to evaluate the issues affecting the provision of and reliance upon investment research into small issuers); H.R. 6258 (Financial Services and General Government Appropriations Act, 2019); S. 488 (Encouraging Employee Ownership Act); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority); S. 3004 (Small Business Audit Correction Act of 2018); S. 3107 (Financial Services and General Government Appropriations Act, 2019); 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); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; Public Company Accounting Oversight Board small broker/dealer exemption; Diversity & Inclusion initiatives in the financial services industry; 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; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Housing finance reform; Data Breach Notification Federal Standard; ETF Regulation; Issues relating to H.R. 6072 and S. 3023 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2019); Vietnam cybersecurity law.

Issues related to Dodd-Frank; H.R. 45 (provisions related to Regulatory Relief) H.R. 70 (provisions related to Financial Reform) H.R. 493 (provisions related to Dodd-Frank Reform) H.R. 585 (provisions related to Financial Reform) H.R. 832 (provisions related to Consumer Financial Products) H.R. 1018 (provisions related to CFPB) H.R. 1031 (provisions related to CFPB) H.R. 1459 (provisions related to FSOC) H.R. 1637 (provisions related to CFPB) S. 365 (provisions related to Dodd-Frank Reform) S. 387 (provisions related to CFPB) H.R. 4061 (provisions related to Dodd-Frank FSOC) H.R. 3762 (provisions related to Dodd-Frank FIO) H.R. 3861 (provisions related to Dodd-Frank FIO) H.R. 3746 (provisions related to Dodd-Frank CFPB) H.R. 4537 (provisions related to Dodd-Frank FIO) S. 1360 (provisions related to International Insurance) S. 2155, Sec. 211 (provisions related to International Capital Standards)

Client expense: Not reported · Firm income: $70,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption H.R. 3312 Bank Holding Companies and Enhanced Supervision S. 1579 Consumer Financial Protection Advisory Boards S. 1744 Securities and Exchange Commission Regulations H.R. 4061 Financial Stability Oversight Council H.R. 4293 Comprehensive Capital Analysis and Review Process H.R. 4302 Congressional Accountability for Emergency Lending H.R. 4625 Development & Implementation of Artificial Intelligence H.R. 5266 Financial Product Safety Commission S. 2217 Development & Implementation of Artificial Intelligence H.R. 5470 Office of Financial Research H.R. 5534 Procedures for Guidance S. 2702 Authority of Bureau of Consumer Financial Protection

Client expense: $1,590,000 · Firm income: Not reported

Shark Fin Trade Elimination Act, S.793, H.R. 1459 & H.R. 5248 Sustainable Shark Fisheries and Trade Act of 2018, H.R. 5248 & S. 2764

Client expense: Not reported · Firm income: $13,500

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); H.R. 4790 (Volcker Rule Regulatory Harmonization Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).

Client expense: $1,620,000 · Firm income: Not reported

H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 3280 (Financial Services and General Government Appropriations Act, 2018); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3353 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2018); H.R. 3555 (Exchange Regulatory Improvement Act); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); H.R. 4785 (American Customer Information Protection Act); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 488 (Encouraging Employee Ownership Act); S. 1655 (Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2018); S. 2098 (Foreign Investment Risk Review Modernization Act of 2017); 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); China - strategic and economic dialogue; Bilateral Investment Treaties, India, China; India Market Access Issues; European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets; India Financial Sector Reform; Accounting standards for municipalities; Privacy and cybersecurity issues (general); CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; Public Company Accounting Oversight Board small broker/dealer exemption; Diversity & Inclusion initiatives in the financial services industry; 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; North American Free Trade Act (NAFTA); Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Housing finance reform; Data Breach Notification Federal Standard; ETF Regulation.

Shark Fin Trade Elimination Act, S.793, H.R. 1459 & H.R. 5248

Client expense: Not reported · Firm income: $8,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to Dodd-Frank; H.R. 45 re Regulatory Relief H.R. 70 re Financial Reform H.R. 493 re Dodd-Frank Reform H.R. 585 re Financial Reform H.R. 832 re Consumer Financial Products H.R. 1018 re CFPB H.R. 1031 re CFPB H.R. 1459 re FSOC H.R. 1637 re CFPB S. 365 re CFPB S. 370 re Dodd-Frank Reform S. 387 re CFPB H.R. 4061 re Dodd-Frank FSOC H.R. 3762 re Dodd-Frank FIO H.R. 3861 re Dodd-Frank FIO H.R. 3746 re Dodd-Frank CFPB H.R. 4537 re Dodd-Frank FIO

Client expense: Not reported · Firm income: $70,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption H.R. 3312 Bank Holding Companies and Enhanced Supervision S. 1579 Consumer Financial Protection Advisory Boards S. 1744 Securities and Exchange Commission Regulations H.R. 4061 Financial Stability Oversight Council H.R. 4293 Comprehensive Capital Analysis and Review Process H.R. 4302 Congressional Accountability for Emergency Lending H.R. 4625 Development & Implementation of Artificial Intelligence H.R. 5266 Financial Product Safety Commission S. 2217 Development & Implementation of Artifical Intelligence

Client expense: $1,220,000 · Firm income: Not reported

Shark Fin Trade Elimination Act, S.793 & H.R. 1459

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); S. 2155 (Economic Growth, Regulatory Relief, and Consumer Protection Act); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).

Client expense: $2,800,000 · Firm income: Not reported

H.R. 10 (Financial CHOICE Act of 2017); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); 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); 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; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; 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; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Housing finance reform.

Issues related to Dodd-Frank; H.R. 45 re Regulatory Relief H.R. 70 re Financial Reform H.R. 493 re Dodd-Frank Reform H.R. 585 re Financial Reform H.R. 832 re Consumer Financial Products H.R. 1018 re CFPB H.R. 1031 re CFPB H.R. 1459 re FSOC H.R. 1637 re CFPB S. 365 re CFPB S. 370 re Dodd-Frank Reform S. 387 re CFPB H.R. 4061 re Dodd-Frank FSOC H.R. 3762 re Dodd-Frank FIO H.R. 3861 re Dodd-Frank FIO H.R. 3746 re Dodd-Frank CFPB H.R. 4537 re Dodd-Frank FIO

Client expense: Not reported · Firm income: $70,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption H.R. 3312 Bank Holding Companies and Enhanced Supervision S. 1579 Consumer Financial Protection Advisory Boards S. 1744 Securities and Exchange Commission Regulations H.R. 4061 Financial Stability Oversight Council H.R. 4293 Comprehensive Capital Analysis and Review Process H.R. 4302 Congressional Accountability for Emergency Lending

Client expense: $1,390,000 · Firm income: Not reported

Issues related to the implementation of the Dodd Frank Act; Federal Reserve capital requirements; asset management; market structure; HR. 1459, Financial Stability Oversight Council Improvement Act; qualified thrift loan requirements and FDICIA.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 (Financial CHOICE Act of 2017); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2017); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1585 (To amend the Securities Act of 1933 to codify certain qualifications of individuals as accredited investors for purposes of the securities laws); H.R. 1645 (Fostering Innovation Act of 2017); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 2266 (Additional Supplemental Appropriations for Disaster Relief Requirements Act, 2017); H.R. 3299 (Protecting Consumers' Access to Credit Act of 2017); H.R. 3758 (Senior Safe Act of 2017); H.R. 3857 (PASS Act of 2017); H.R. 3903 (Encouraging Public Offerings Act of 2017); S. 18 (Fair Tax Act of 2017); S. 178 (Robert Matava Elder Abuse Prosecution Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); 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); 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; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; 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; Financial CHOICE Act; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System) Executive Order 13777 (Enforcing the Regulatory Reform Agenda); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Support of financial literacy.

H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); H.R. 2121 (Pension, Endowment, and Mutual Fund Access to Banking Act); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements; Prudential matters with the U.S. agencies and international standard setting bodies; Executive Order 13777 (Enforcing the Regulatory Reform Agenda).

Client expense: $1,830,000 · Firm income: Not reported

Issues related to Dodd-Frank; H.R. 45 re Regulatory Relief H.R. 70 re Financial Reform H.R. 493 re Dodd-Frank Reform H.R. 585 re Financial Reform H.R. 832 re Consumer Financial Products H.R. 1018 re CFPB H.R. 1031 re CFPB H.R. 1459 re FSOC H.R. 1637 re CFPB S. 365 re CFPB S. 370 re Dodd-Frank Reform S. 387 re CFPB H.R. 4061 re Dodd-Frank FSOC H.R. 3762 re Dodd-Frank FIO H.R. 3861 re Dodd-Frank FIO H.R. 3746 re Dodd-Frank FPB

Client expense: Not reported · Firm income: $70,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption H.R. 3312 Bank Holding Companies and Enhanced Supervision S. 1579 Consumer Financial Protection Advisory Boards S. 1744 Securities and Exchange Commission Regulations

Client expense: $1,250,000 · Firm income: Not reported

Shark Fin Trade Elimination Act, S.793 & H.R. 1459

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Shark Fin Trade Elimination Act, S.793 & H.R. 1459

Client expense: Not reported · Firm income: $10,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Supplemental capital issues, regulatory issues for credit unions and tax exemption status: HR 10 HR 26, HR 389, HJ Res 62, HR 1018, HR 1031, HJ Res 73, HR 1116, HR 1153, HR 1244, HR 1264, HR 1366, HR 1401, HR 1422, HR 1423, HR 1426, HR 1459,, HR 1699, HR 1801, HR 1833, HR 1929, HR 1948, HR 1958, HR 1964, HR 2054, HR 2133, HR 2148, HR 2170, HR 2204, HR 2215, HR 2226, HR 2246, HR 2359, HR 2396, HR 2403, HR 2548, HR 2553, HR 2565, HR 2570, HR 2706, HR 2793, HR 2868, HR 2874, HR 2875, HR 2877, HR 2890; S 21, S 105, S 223, SJ Res 19, S 365, S 366, S 370, S 387, S 389, S 563, S 567, S 626, S 639, S 836, S 838, S 869, S 1002, S 1058, S 1264, S 1284, S 130, S 1313, S 1315, S 1368, data security and cybersecurity: patent reform; FHLB membership rules; CFPB and FSOC reform; and GSE reform.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 10 (Financial CHOICE Act of 2017); H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); S. 18 (Fair Tax Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); 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); 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; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; Public Company Accounting Oversight Board small broker/dealer exemption; U.S./EU financial markets regulatory dialogue; Trade and international issues (general); Diversity & Inclusion initiatives in the financial services industry; 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; Financial CHOICE Act; Presidential Executive Order on Core Principles for Regulating the United States Financial System; Presidential Executive Order on Enforcing the Regulatory Reform Agenda; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation; Executive Order 13771 (Reducing Regulation and Controlling Regulatory Cost); Executive Order 13772 (Core Principles for Regulation of the US Financial System); US and China 100-day trade talks; Fiscal Year 2018 Transportations, HUD Appropriations Bill; Fiscal Year 2018 Financial Services and General Government Bill; Support of financial literacy.

H.R. 10 (Financial CHOICE Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1624 (Municipal Finance Support Act of 2017); S. 828 (To amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements; Prudential matters with the U.S. agencies and international standard setting bodies.

Client expense: $1,680,000 · Firm income: Not reported

H.R. 10 Financial Regulatory Reform H.R. 45 Financial Regulatory Reform H.R. 70 Federal Advisory Committee Act Amendments H.R. 493 Wall Street H.R. 585 Pre-Dispute Arbitration Agreement Prohibition H.R. 832 Consumer Financial Products Dispute Proceedings H.R. 1018 Director of the Bureau of Consumer Financial Protection H.R. 1031 Bureau of Consumer Financial Protection H.R. 1459 Regular Appropriations Process S. 365 Fund Transfer Funding Cap S. 370 Bureau of Consumer Financial Protection S. 387 Consumer Financial Protection Bureau Appropriations H.R. 2553 Bureau of Consumer Financial Protection H.R. 2750 Office of Financial Research Independent Funding S. 923 Financial Institutions Regulations Exemption

Client expense: $1,460,000 · Firm income: Not reported

Issues related to Dodd-Frank; H.R. 45 re Regulatory Relief H.R. 70 re Financial Reform H.R. 493 re Dodd-Frank Reform H.R. 585 re Financial Reform H.R. 832 re Consumer Financial Products H.R. 1018 re CFPB H.R. 1031 re CFPB H.R. 1459 re FSOC H.R. 1637 re CFPB S. 365 re CFPB S. 370 re Dodd-Frank Reform S. 387 re CFPB

Client expense: Not reported · Firm income: $70,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Shark Fin Trade Elimination Act, S.793 & H.R. 1459

Client expense: Not reported · Firm income: $12,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1459 (Financial Stability Oversight Council Reform Act); Housing finance issues (General); Equity market structure issues; Single Security/Common Securitization Platform (Federal Housing Finance Agency); Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal; Federal Reserve G-SIB capital surcharge; Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR); Section 956 of the Dodd-Frank Act; Fixed Income Investments Liquidity; China banking regulation; Federal Reserve proposed rule on merchant banking and commodities; Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation; Volcker Rule; High Quality Liquid Assets (HQLA) requirements.

Client expense: $1,780,000 · Firm income: Not reported

H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015); H.R. 78 (SEC Regulatory Accountability Act); H.R. 316 (Futures Investor Protection Act); H.R. 477 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2017); H.R. 910 (Fair Access to Investment Research Act of 2017); H.R. 1343 (Encouraging Employee Ownership Act of 2017); H.R. 1459 (Financial Stability Oversight Council Reform Act); H.R. 1667 (Financial Institution Bankruptcy Act of 2017); H.R. 1948 (To raise the consolidated assets threshold under the small bank holding company policy statement, and for other purposes); H.R. 5485 (Financial Services and General Government Appropriations Act, 2017); S. 18 (Fair Tax Act of 2017); S. 223 (Senior$afe Act of 2017); S. 327 (Fair Access to Investment Research Act of 2017); S. 488 (Encouraging Employee Ownership Act); 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); 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; India Financial Sector Reform; Accounting standards for municipalities; Securities Investor Protection Corporation (SIPC) reform and funding fees; Support of financial literacy; Privacy and cybersecurity issues (general); Municipal advisor regulation; CFTC cross-border guidance exemptive order; CFTC exemptive order on extraterritorial scope of Title VII; Jumpstart our Business Startups (JOBS) Act implementation; Commodity Pools and Securitization; Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8; Release No. 34-71958, Security-Based Swap Dealers Recordkeeping; Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau); Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures; Inter-affiliate swap transactions; 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; 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; Financial CHOICE Act; Presidential Executive Order on Core Principles for Regulating the United States Financial System; Presidential Executive Order on Enforcing the Regulatory Reform Agenda; Crapo, Brown requests for proposals to foster economic growth; North American Free Trade Act (NAFTA); Infrastructure finance and agenda; Municipal information disclosure regulation.

Supplemental capital issues, regulatory issues for credit unions and tax exemption status: HR 26, HR 389, HJ Res 62, HR 1018, HR 1031, HJ Res 73, HR 1116, HR 1153, HR 1244, HR 1264, HR 1366, HR 1401, HR 1422, HR 1423, HR 1426, HR 1459,, HR 1699, HR 1801, S 21, S 105, S 223, SJ Res 19, S 365, S 366, S 370, S 387, S 389, S 563, S 567, data security and cybersecurity: patent reform; FHLB membership rules; CFPB and FSOC reform; and GSE reform.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Issues related to the Federal Reserve Board rule to implement Basel III's regulatory capital reforms; issues related to the implementation of Dodd Frank Act and HR. 1459, Financial Stability Oversight Council Improvement Act.

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

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE