Commodity Exchange Reauthorization Act of 2005

S. 1326, Notification of Risk to Personal Data Act; S. 1332, Personal Data Privacy and Security Act; S. 1336, Consumer Identity Protection and Security Act; S. 1408, Identity Theft Protection Act; S. 1461, Consumer Identity Protection and Security Act; S. 1566 Bills: S. 3171, United States Direct Investment Act; S. 1004, Enhanced Consumer Protection Against Spyware Act; S. 115, Notification of Risk to Personal Data Act; S. 116, Privacy Act; S. 1216, Financial Privacy Breach Notification Act; Commodity Exchange Act Reauthorization; S. 1789, Personal Data Privacy and Security Act; S. 2169, Financial Data Protection Act; S. 2380, U.S. National Security Protection Act; S. 2856, Financial Services Regulatory Relief Act; S. 29, Social Security Number Misuse Prevention Act; S. 3549, Foreign Investment and National Security Act; S. 467, Terrorism Risk Insurance Extension Act; S. 751, Notification of Risk to Personal Data Act; S. 768, Comprehensive Theft Identity Prevention Act; S. 810, SAFE-ID Act; HR 1069, Notification of Risk to Personal Data Act; HR 1078, Social Security Number Protection Act; HR 1080, Information and Security Protection Act HR 1263, Consumer Privacy Protection Act; HR 1653, SAFE-ID Act; HR 2795, the Patent Act; HR 3140, Consumer Data Security and Notification Act; HR 3374, Consumer Privacy Protection Act; HR 3375, Financial Data Security Act; HR 3505, Financial Services Regulatory Relief Act; HR 3997, Financial Data Security Act; HR 4127, Data Accountability and Trust Act; HR 4127, Financial Data Accountability Act. Congressional Issues: Arbitration of employment disputes; Reduction in and Calculation of Section 31 fees; Basel II Capital Accords; SEC disclosure rules for public offerings; Protection of data and databases from misappropriation; President’s Working Group recommendations on OTC derivatives and financial reporting of risk exposure to hedge funds; Hedge fund issues generally; Expansion of SEC enforcement powers; Mutual fund issues, including late trading, market timing, disclosure of fees and revenue streams, 4:00 PM close on mutual fund redemption orders, soft dollars, and directed brokerage; Treasury Attaché to European Union; Reauthorization of Commodity Exchange Act; Trade-through rule and related market structure issues; Proposed merger of NYSE and Archipelago; Consolidation of NYSE and NASD broker-dealer regulation; Committee on Foreign Investments in the United States; Alleged manipulation of markets by uncovered short-sellers. Executive Branch Actions: SEC Rule 10b-10; Basel II Capital Accord; Investment Banking Holding Companies; SEC Framework for Consolidated Supervised Entities; Clarification of distinctions between definitions of “broker-dealer” and “investment adviser”; Hedge funds, including investment adviser and investment company compliance programs; Electronic Communication Network (ECN) access fees; Potential candidates for senior SEC staff positions; IPO allocation and pricing practices under Regulation M; Supervision of branch offices; Public Company Accounting Oversight Board regulation of audits of non-public broker-dealers and of foreign issuers; Disclosure of after-tax yield on mutual funds; Securities analyst independence and performance; Auditor participation in securities offering due diligence; Proxy solicitation; Revisions to SEC record storage rules; Fixed income price transparency; Use of electronic media to satisfy federal securities law delivery requirements (SEC interpretations); Electronic record retention issues; Independent firm compliance activities; Insurance and annuity compliance activities; SEC “principal trading” relief proposal (Rule 206(3) of the Investment Advisers Act); Best execution and payment for order flow; Privacy requirements of Gramm-Leach-Bliley Act; Proposed interpretations of Rule 15c3-1, including reducing capital charges for certain securities held in broker-dealer inventory; Reform to rules under Section 17(a) of the Investment Company Act and Section 206(3) of the Investment Advisers Act; World Trade Organization and access of U.S. broker-dealers to foreign markets; Proposed revisions to the securities offering process under the Securities Act of 1933; Interpretations of net capital rules; Regulation of derivative products; Broker-dealer retention of e-mail and interpretation of Exchange Act Rule 17a-3; Soft dollar payments among broker-dealers and other market participants; Possible consolidation or restructuring of self-regulatory organizations; Information required to be maintained by fiduciaries such as investment advisers under Rule 17a-3; Modification of restrictions on principal transactions under rule 206(3) of the Advisers Act; Exemption from bonding requirements of Section 412 of ERISA; Agency cross-trading restrictions under ERISA; Broker-dealer advertising practices; Disclosure of 401(k) fees to consumers; Proposals to SEC regarding filing requirements for certain mutual fund advertising and sales literature; Proposals to SEC regarding mutual fund fees; Proposals by the NASD and private-sector bodies to improve trade reporting and transparency in the corporate debt markets; Financial Stability forum of the G-7 nations; Prohibited transaction class exemption application regarding sections 406(a)(I)(A)-(D) and 406(b) of ERISA; Regulatory and compliance issues regarding trading restricted by the U.S. Treasury Department’s Office of Foreign Assets Control; Coordination of SEC and banking regulatory examinations; Patents of financial products;Certificate of deposit sales practices;Point of sale and confirmation disclosure on mutual fund fees;Global straight-through processing; SEC Release 34-52635 (guidance on client commission practices under Exchange Act Sec. 28(e)); Regulatory treatment of Investment Bank Holding Companies under the Gramm-Leach-Bliley Act and the requests for no-action letters under the SEC’s capital rules; Possible promulgation of rules for capital treatment and registration of Investment Bank Holding Companies; Regulation of variable annuities; Financial analysis of securities industry profitability; Best execution for options; Options market linkages; Dealer accounting issues and FASB; Proposal for reduced capital early warning requirements for broker-dealers that have strong policies and procedures for managing customer debits; Request for permitting broader range of securities to be used as collateral for Rule 15c3-3 deposits; Proposal for SEC regulation of Investment Bank Holding Companies; Implementation of Commodity Futures Modernization Act; Investment adviser referral fees; Nasdaq supermontage; Allocation of IPOs by underwriters; Reduction in and calculation of Section 31 fees; Regulatory framework for 529 plans; Broker-dealer rules under Form ADV Part 2; Government Accountability Office study of investment banks; SEC study of market structure issues; Mutual fund advertising proposed regulations; Mutual fund affiliate transactions; Mutual fund proxy disclosures; Implementation of new rules under the Sarbanes-Oxley Act; Efforts to obtain a regulation that would permit “portfolio margining” for customers of a broker-dealer; Mutual fund breakpoints; Accounting for derivatives and fair-value accounting; Possible reforms of Soft Dollars; Directed brokerage; Mutual fund issues, including late trading, market timing, disclosure of fees and revenue streams, 4:00 PM close on mutual fund redemption orders, revenue flows between mutual funds and broker-dealers, point-of-sale disclosures to mutual fund customers; Pricing of new issue securities by underwriters; Proposals to improve issuer disclosure of management discussion and analysis and critical accounting policies; SEC Short Sale Rule Proposal (Regulation SHO); Locked and crossed markets; Trading halts; Stock index pricing and markets, certification proposal for chief compliance officers and chief executive officers; SEC’s Proposed Regulation National Market System (NMS) Rule Proposal; Coordination and duplication of SEC and SRO examinations; Ability of broker-dealers to offer fee-based brokerage services outside Investment Advisers Act; Financial analysis of securities industry profitability; Proposed structural finance guidance by SEC and bank regulators; New York Stock Exchange hybrid market proposal published by SEC; SEC proposed Rule 15c-22; Business continuity planning sound practices and rules; Information security of government agencies; SEC Rule 202(a)(11)-1 (broker-dealers deemed not to be investment advisers); Mutual fund point-of-sale disclosure proposal; NASD proposed fairness opinion letter; Options market-quote migration; Application of Fair Labor Standards Act and 29 CFR Part 541 to registered representatives of broker-dealers; Gender/ethnic diversity in the securities industry; Regulation of securities analysts; Hybrid SRO/ SRO regulatory consolidation; Office of Foreign Asset Controls requirements for financial service firms; NYSE outsourcing rule proposal; NASDAQ exchange application; NYSE governance reform rule proposal; 17 CFR Part 275 (broker-dealers deemed to be investment advisers); Waiver of filing requirements for brokers and investments advisers due to Katrina; Implementation of Regulation NMS; Anti-money laundering rules under the Patriot Act; Implementation of new SEC rules on public securities offerings; SEC participation in U.S.-European Union dialogue on financial services regulatory convergence; NYSE trading rules; Proposed amendments to mutual fund redemption fee rule 22c-2; Exemptive relief from Investment Company Act Section 11(d)(1) for money market funds; Compliance with broker-dealer books and records requirements; SEC electronic proxy rule proposal; State of Utah legislation on fails-to-deliver securities on Regulation SHO threshold list; Application of SEC Rule 17a-3(A)(17) to subscription-way sales; Broker-dealer registered investment advisers; International convergence of rules regarding research regulation; International convergence of rules regarding access to cross-border markets of institutional clients and counterparties.

Client expense: Not reported · Firm income: $2,352,673

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Reserve System, Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State Justice Institute, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

HR 4473, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill; S. 1566, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill.

Client expense: Not reported · Firm income: $20,000

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

HR 4473, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill; S. 1566, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill.

Client expense: Not reported · Firm income: $20,000

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

HR 4473, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill; S. 1566, The Commodities Futures Trading Commission Reauthorization Act - all provisions related to the bill.

Client expense: Not reported · Firm income: $20,000

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

HR.4473, CFTC Reauthorization Act of 2005 S.1566, Commodity Exchange Reauthorization Act of 2005

Client expense: Not reported · Firm income: $100,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 1566 Commodities Futures trading commission reauthorization; support US-Colombia FTA; H.R. 5070 Trade preferences - support for Andean extension; support PNTR for Russia

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

Government targets: Commerce, Dept of (DOC), Energy, Dept of, HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Natl Security Council (NSC), Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

HR 5441 Making appropriations for the Department of Homeland Security for the fiscal year ending September 30, 2007, and for other purposes. HR 5449 To amend title 49, United States Code, to modify bargaining requirements for proposed changes to the personnel management system of the Federal Aviation Administration. HR 5522 Making appropriations for foreign operations, export financing, and related programs for the fiscal year ending September 30, 2007, and for other purposes. HR 5576 Making appropriations for the Departments of Transportation, Treasury, and Housing and Urban Development, the Judiciary, District of Columbia, and independent agencies for the fiscal year ending September 30, 2007, and for other purposes. HR 5702 To suspend the excise tax on fuel used in commercial aviation. SConRes 83 An original concurrent resolution setting forth the congressional budget for the United States Government for fiscal year 2007 and including the appropriate budgetary levels for fiscal years 2006 and 2008 through 2011. S 1102 A bill to extend the aviation war risk insurance program for 3 years. S 1566 An original bill to reauthorize the Commodity Exchange Act, and for other purposes. S 2611 A bill to provide for comprehensive immigration reform and for other purposes. S 2201 A bill to amend title 49, United States Code, to modify the mediation and implementation requirements of section 40122 Regarding changes in the Federal Aviation Administration personnel management system, and for other purposes. S 2631 A bill to amend section 1028 of title 18, United States Code, to prohibit the possession, transfer, or use of fraudulent travel documents. S 2642 A bill to amend the Commodity Exchange Act to add a provision relating to reporting and recordkeeping for positions involving energy commodities. S 2673 A bill to temporarily reduce the Federal fuel tax through the suspension of royalty relief for oil production and certain energy production tax incentives. S 3325 A bill to promote coal-to-liquid fuel activities. S 3456 A bill to ensure the implementation of the recommendations of the National Commission on Terrorist Attacks Upon the United States. In addition to contacts associated with the legislation described above: Air Cargo Entry and Export Facilitation Issues Air Cargo Security Issues Airport and Air Traffic Control Infrastructure Issues Aviation Insurance Issues Aviation Security Infrastructure Fee Issues HR 4 Pension Protection Act 2006 HConRes 376 Establishing the congressional budget for the United States Government for fiscal year 2007 and setting forth appropriate budgetary levels for fiscal years 2008 through 2011 HRes 814 Providing for consideration of the bill (HR 4755) to amend title 49, United States Code, to modify the mediation and implementation requirements of section 40122 regarding changes in the Federal Aviation Administration personnel management system, and for other purposes HR 22 To reform the postal laws of the United States HR 4437 To amend the Immigration and Nationality Act to strengthen enforcement of the immigration laws, to enhance border security, and for other purposes HR 4439 To establish an Airport Screening Organization in the Transportation Security Administration, and for other purposes. HR 4473 To reauthorize and amend the Commodity Exchange Act to promote legal certainty, enhance competition, and reduce systemic risk in markets for futures and over-the-counter derivatives, and for other purposes. HR 4755 To amend title 49, United States Code, to modify the mediation and implementation requirements of section 40122 regarding changes in the Federal Aviation Administration personnel management system, and for other purposes. HR 4849 To amend title 49, United States Code, to provide that individuals who are eligible to join the Armed Forces of the United States are also eligible to be security screening personnel. HR 5017 To ensure the implementation of the recommendations of the National Commission on Terrorist Attacks Upon the United States. HR 5067 To establish operational control over the international land and maritime borders of the United States, and for other purposes. HR 5076 To amend title 49, United States Code, to authorize appropriations for fiscal years 2007, 2008, and 2009, and for other purposes. HR 5197 To amend title 49, United States Code, to extend the aviation war risk insurance program. HR 5248 To regulate over-the-counter trading of energy derivatives. HR 5330 To provide coverage under the Railway Labor Act to employees of certain air and surface transportation entities. HR 5333 To reduce the threat of terrorists acquiring shoulder-fired missiles. see attachment

Client expense: $1,600,000 · Firm income: Not reported

Government targets: Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, SENATE, Transportation, Dept of (DOT), Treasury, Dept of

S 1566 Commodity Exchange Reauthorization Act of 2005 Commodity Futures Trading Commission Reauthorization Advocate to vest more responsiblity with commodity exchanges

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S 190 "Federal Housing Enterprise Regulatory Reform Act of 2005" (regulation of secondary mortgage market enterprises); HR 4473 "CFTC Reauthorization Act of 2005" and S 1566 "Commodity Reauthorization Act of 2005" (CFTC Reauthorization, CEA, derivatives)

Client expense: $2,780,000 · Firm income: Not reported

Government targets: Agriculture, Dept of (USDA), Council of Economic Advisers (CEA), Executive Office of the President (EOP), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Treasury, Dept of

HR 1824 S2860 HR4967 S3489 HR4491 S1566

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

Government targets: Centers For Medicare and Medicaid Services (CMS), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Housing & Urban Development, Dept of (HUD), SENATE

H.R. 3057, Foreign Operations Appropriations Equal Access to Justice Act (EAJA) S. 3521, H.R. 4890, Legislative Line Item Veto Act H.R. 2965, Federal Prison Industries Competition in Contracting Act Attorney-Client Privilege Protection Act of 2006 Susan Dudley nomination H.R. 5535, Prevention of Civil RICO Abuse Act of 2006 S. 1566, Commodity Exchange Reauthorization Act Regulatory flexibility H.R. 2862, FY06 Commerce, Justice, Science Appropriations H.R. 2863, Defense Appropriations H.R. 2985, Legislative Branch Appropriations

Client expense: $3,640,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Labor, Dept of (DOL), Occupational Safety & Health Administration (OSHA), Office of Management & Budget (OMB), Patent & Trademark Office (PTO), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Postal Service (USPS), U.S. Trade Representative (USTR), White House Office

S 1566: An original bill to reauthorize the Commodity Exchange Act, and for other purposes; S 2642: A bill to amend the Commodity Exchange Act to add a provision relating to reporting and recordkeeping for positions involving energy commodities; S 4012: A bill to promote a substantial commercial coal-to-fuel industry and decrease the dependence of the United States on foreign oil, and for other purposes. HR 4473: To reauthorize and amend the Commodity Exchange Act to promote legal certainty, enhance competition, and reduce systemic risk in markets for futures and over-the-counter derivatives, and for other purposes; HR 5248: To regulate over-the-counter trading of energy derivatives;

Client expense: $918,146 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), SENATE, Transportation, Dept of (DOT)

S. 1566 introduced July 29, 2005, CFTC Reauthorization House Reauthorization Legislation SRO Governance Rules Defining located outside U.S.

Client expense: Not reported · Firm income: $200,000

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

SECTION 16 SPECIFIC LOBBYING ISSUES HConRes 358; HCOnRes 376; HRes 814; HR 22; HR 4437; HR 4439; HR 4607; HR 4473; HR 4755; HR 4849; HR 5017; HR 5067; HR 5076; HR 5197 HR 5248; HR 5330; HR 5333; HR 5342; HR 5441; HR 5449; HR 5522;HR 5576; HR 5702; SConRes 83; S 1102; S 1566; S 2201; S 395; S 2572; S 2631; S 2642; S 2666; S 2673; S 3325; S 3456; S 3621; S 3679; S 3763; S 3849; S 3927; S 3937; S 3993; S 4012; S 4109 Regulatory and Other Matters Air Cargo Entry and Export Facilitation Airline Service Quality Airport and Air Traffic Control Funding, Operations and Infrastructure Aviation Industry Finance Aviation Insurance Aviation Security Aviation Security Infrastructure Fee Civil Reserve Air Fleet Commercial Aircraft Engineering, Flight Operations, and Maintenance FAA Reauthorization Legislation Federal Income Tax and Excise Tax Issues International Air Service Rights (Bilateral Aviation Agreements) Noise, Air Quality and Water Quality Issues Passenger Data Privacy Passenger Processing Passenger User Fees September 11 Passenger Security Fee U.S. Postal Service Mail Carriage U.S. Implementation of the Convention for the Unification of Certain Rules for International Carriage by Air, Done at Montreal, May 28, 1999 ("Montreal Convention of 1999") SECTION 17 HOUSE(S) OF CONGRESS AND FEDERAL AGENCIES CONTACTED House of Representatives; Senate; Dept of Agriculture; Dept of Commerce; Dept of Defense; Dept of Energy; Dept of Health and Human Services; Dept of Homeland Seucrity; Dept of State; Dept of Transportation; Environmental Protection Agency; Executive Office of the President; General Accountability Office; National Transportation Safety Board; and US Postal Service See attachment

Client expense: $2,204,872 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Tennessee Valley Authority (TVA)

S 1566 - Commodity Exchange Authorization Act of 2005 HR 1638 - Commodity Exchange Improvement Act of 2005 HR 4618 - SEC Resturcturing Legislation S 2824/HR 5405 - COMPETE Act (Sarbanes Oxley Reform) HR 3492 - Consumer Credit Card Protection Act of 2005 HR 5585 - Financial Netting Improvements Act of 2006

Client expense: $1,720,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 1638, H.R. 4473, H.R. 4618, H.R. 5253, S. 1566, S. 2642

Client expense: $1,600,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Energy, Dept of, Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

H.R. 685, H.R. 1153, H.R. 1185, H.R. 1224, H.R. 1638, H.R. 1640, H.R. 3882, H.R. 3997, H.R. 4127, H.R. 4221, H.R. 5318, H.R. 5746, S. 256, S. 467, S. 751, S. 1326, S. 1332, S. 1408, S. 1562, S. 1566, S. 1586, S. 1789, S. 1932, S. 3568

Client expense: $1,600,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Energy, Dept of, Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

S.1566 - Commodity Exchange Reauthorization Act

Client expense: Not reported · Firm income: $1,720,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

CFTC Reauthorization (S.1566)

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

Government targets: SENATE

HR 4473, CFTC Reauthorization Act of 2005, all sections S 1566, Commodity Exchange Reauthorization Act of 2005, all sections

Client expense: Not reported · Firm income: $1,320,000

Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

Market Structure Issues, Options Traders Tax Treatment, Single Stock Futures Margin treatment, Futures Markets, S1566 CEA of 2005 and HR 4473 CFTC Reauthorization Act of 2005

Client expense: $260,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

S1566 Commodity Exchange Act of 2005. Futures Markets, Margin treatment for Options and Single Stock futures. HR CFTC Reauthorization Act of 2005.

Client expense: $260,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Supported inclusion of natural gas / energy oversight provisions in the Commodity Futures Trading Commission (CFTC) reauthorization bill (HR 4473 / S 1566) and HR 1638. Supported incentives to promote production and use of clean burning and renewable fuels; Supported U.S. Minerals Management Service proposal to expand offshore access to domestic energy resources. Member of coaltion that supported increased domestic exploration and production of oil and natural gas off the Outer Continental Shelf (OCS) and Artic National Wildlife Refuge (ANWR) - HR 4761 / S 3711 / S 2253;

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

Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Office of Management & Budget (OMB), SENATE, Surface Transportation Board (STB), Transportation, Dept of (DOT), U.S. International Trade Commission (ITC), White House Office

S. 500 Information Protection and Security Act (Provisions on data security). S. 714 Junk Fax Prevention Act of 2005 (Implementation issues). S. 751 Notification of Risk to Personal Data Act (Provisions on data security). S. 768 Comprehensive Identity Theft Prevention Act (Provisions on data security and ID theft). S. 810 Safeguarding Americans from Exporting Identification Data Act - SAFE ID Act (Provisions on data security). S. 1040 Credit Card Minimum Payment Warning Act of 2005 (Provisions on credit cards). S. 1216 Financial Privacy Breach Notification Act of 2005 (Provisions on data security). S. 1326 Notification of Risk to Personal Data Act (Provisions on data security). S. 1332 Personal Data Privacy and Security Act of 2005 (Provisions on data security). S. 1336 Consumer Identity Protection and Security Act (Provisions on Social Security number restrictions). S. 1408 Identity Theft Protection Act (Provisions on data security). S. 1502 The Preservation of Federalism in Banking Act (Provisions on OCC preemption). S. 1566 Senate CFTC Reauthorization (Provisions on the OTC market). S. 1586 Interest on Business Checking Act of 2005 (Provisions on interest on business checking). S. 1789 Personal Data Privacy and Security Act of 2005 (Provisions on data security). S. 2654 Protection of Young Consumers Act of 2006 (Provisions on credit cards). S. 2655 Credit Card Reform Act of 2006 (Provisions on credit cards). S. 2766 National Defense Authorization Act for Fiscal Year 2007 (Provisions related to credit to servicemembers). S. 2856 Financial Services Regulatory Relief Act of 2006 (Sought passage). S. 3568 The "Data Security Act of 2006" (Sought passage). Met with House and Senate Agriculture Committee staffs on CFTC reauthorization. Met with Members in the Senate regarding Sen. Feinstein's amendment to S. 1566 Met with FTC regarding Notice of Proposed Rulemaking on the Business Opportunity Role: R 511993 (FTC Project No. R511993) Met with House and Senate staff on data security and credit freezes. Met with Treasury and White House/OMB staff on data security and identity theft. Met with House and Senate Members and staff on credit card issues. Met with House and Senate staff regarding Reg NMS/Market Structure. Met with Department of Education staff regarding the student loan program. Met with House and Senate staff to discuss industrial loan corporations. Discussed status of DOE loan guarantee program with Senate members and executrive branch officials. Discussed potential RFP/BPA with OMB re: data security. Met with House/Senate staff on Home Mortgage Disclosure Act issues. Met with House staff to discuss draft legislation on data security. Met with House staff to discuss draft legislation on predatory lending. Met with House and Senate members and staff on hedge fund issues. Met with Treasury and White House/OMB staff regarding Social Security verification program (CBSV) at the SSA. H.R. 1078 Social Security Number Protection Act of 2005 (Provisions on Social Security number restrictions). H.R. 1080 Information Protection and Security Act (Provisions on data security). H.R. 1182 Prohibit Predatory Lending Act of 2005 (Provisions on predatory lending). H.R. 1263 Consumer Privacy Protection Act of 2005 (Provisions on financial security). H.R. 1295 Responsible Lending Act (Provisions on predatory lending). H.R. 1461 Federal Housing Finance Reform Act of 2005 (Provisions on GSE reform). H.R. 1619 Loan Shark Prevention Act (Provisions related to credit card fees). H.R. 1653 Safeguarding Americans from Exporting Identification Data Act (Provisions on data privacy). H.R. 2862 Science, State, Justice, Commerce, and Related Agencies Appropriations Act, 2006 (Provisions related to Internet gambling). H.R. 2990 The Credit Rating Agency Duopoly Relief Act of 2006 (Provisions on credit rating agencies). H.R. 3140 Consumer Data Security and Notification Act of 2005 (Provisions on data security). H.R. 3374 Consumer Notification and Financial Data Protection Act of 2005 (Provisions on data security). H.R. 3375 Financial Data Security Act of 2005 (Provisions on data security). H.R. 3426 The Preservation of Federalism in Banking Act (Provisions on OCC preemption). H.R. 3492 Consumer Credit Card Protection Act of 2005 (Provisions related to credit card fees). H.R. 3505 Financial Services Regulatory Relief Act of 2005 (Provisions on regulatory burden relief). H.R. 3852 Credit Card Minimum Payment Warning Act of 2005 (Provisions related to credit card fees). H.R. 3882 The Financial Safety and Equity Act of 2005 (Provisions on ILCs). H.R. 3997 Financial Data Protection Act of 2005 (Sought passage). H.R. 4127 Data Accountability and Trust Act (DATA) (Provisions on data security). H.R. 4411 The Unlawful Internet Gambling Enforcement Act of 2005 (Provisions related to credit cards). H.R. 4413 Credit Card Minimum Payment Notification Act (Provisions on credit cards). H.R. 4473 CFTC Reauthorization (Provisions on derivatives). H.R. 5126 Truth in Caller ID Act of 2006 (Sought passage). H.R. 5318 Cyber-Security Enhancement and Consumer Data Protection Act of 2006 (Provisions on data security). H.R. 5383 Credit CARD Act of 2006 or Credit Card Accountability Responsibility and Disclosure Act of 2006 (Provisions on credit cards). H.R. 5746 The "Industrial Bank Holding Company Act of 2006" (Provisions on ILCs). S. 29 Social Security Number Protection Act (Provisions on Social Security number restrictions). S. 115 Notification of Risk to Personal Data Act (Provisions on data security). S. 190 Federal Housing Finance Reform Act of 2005 (Provisions on GSE reform). S. 393 Credit Card Minimum Payment Warning Act of 2005 (Provisions on credit cards). S. 499 Credit Card Accountability Responsibility and Disclosure Act of 2005 (Provisions on credit cards). H.R. 458 The Military Personnel Financial Services Protection Act of 2005 (Sought passage). H.R. 1069 Notification of Risk to Personal Data Act (Provisions on data security). H.R. 1078 Social Security Number Protection Act of 2005 (Provisions on Social Security number restrictions).

Client expense: Not reported · Firm income: $3,340,000

Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Education, Dept of, Executive Office of the President (EOP), Export-Import Bank of the United States (EXIM Bank), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Justice, Dept of (DOJ), Natl Economic Council (NEC), Office of Management & Budget (OMB), Overseas Private Investment Corp (OPIC), Pension Benefit Guaranty Corporation (PBGC), SENATE, Social Security Administration (SSA), State, Dept of (DOS), Treasury, Dept of, U.S. Agency for International Development (USAID), U.S. Trade Representative (USTR)

S. 1566, the "Commodity Exchange Reauthorization Act"; H.R. 4473, the "CFTC Reauthorization Act of 2005"

Client expense: Not reported · Firm income: $100,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

S. 509, Energy Market Oversight Act H.R. 4473, S. 1566 Commodity Futures Trading Commission Reauthorization; Tax issues; Financial services issues; Advisory Boards, CFTC regulation

Client expense: Not reported · Firm income: $120,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

S.1566 Commidity Exchange Reauthorization Act of 2005- all matters H.R.5782 Pipeline Safety Improvement Act of 2006- all matters S.2557 Oil and Gas Industry Antitrust Act of 2006- all matters S.1151 Climate Stewardship and Innovation Act of 2005- all matters H.R.4473 Commodities Future Trading Commission Reauthorization- all matters

Client expense: Not reported · Firm income: $100,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Price Gouging: S 1566, 1640, 1717, 1735, 1744, 1854, 1973 Energy Security/Biofuels: S Con. Res 83, 2025, 2435, 2755 Alternatives and Boutique Fuels: S 2446, 2613, 2614, 2700, 2817; Voluntary Gas Star program

Client expense: $8,200,000 · Firm income: Not reported

Government targets: Energy, Dept of, Environmental Protection Agency (EPA), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Minerals Management Service, Natl Security Council (NSC), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Coast Guard (USCG), White House Office

H.R. 4473 – CFTC Reauthorization Act of 2005 S. 1566 – Commodity Exchange Reauthorization Act of 2005 S. 2642 – Oil & Gas Traders Oversight Act of 2006

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

SEC Rulemaking: Portfolio Margin and Cross-Margin Proposals: SR-NYSE-2006-3 and SR-CBOE-2006-14; File No. S7-12-06; SEC Rulemaking: Amendments to Regulation SHO; CFTC Rulemaking: Chicago Mercantile Exchange Commission Submission 06-76, Proposing to Trade Credit Event Contracts; Financial Services Sector Coordinating Council, Business Continuity Planning. S. 1566, Commodity Exchange Reauthorization Act of 2005, all provisions relating to portfolio margining; P.L. 91-598, Securities Investor Protection Act of 1970, seeking amendment relating to portfolio margining;

Client expense: $380,158 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Securities Market Structure issues: SEC Regulation NMS implementation NASD Trade Reporting Facility (TRF) Portfolio Margining for securities Commodity Futures Trade Commission (CFTC) reauthorization: H.R. 4473, "CFTC Reauthorization Act of 2005," sections relating to portfolio margining S. 1566, "Commodity Exchange Reauthorization Act of 2005," sections relating to portfolio margining U.S. competitive position in capital markets Exchange consolidation (Euronext transaction) Bond Market transparency ETF's Exchange Traded Funds Shareholder Proxy rules Market Data Regulation NASD-NYSE Regulation merger NYSE Hybrid Market NYSE Corporate Governance (current and post-merger) NYSE Listed Company corporate governance NYSE Regulation and governance of self-regulatory organizations

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

Government targets: Commodity Futures Trading Commission (CFTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Equity Soft Dollars Rules Global Custody Issues SEC Rule 22c-2/ Mutual Fund Reporting Requirements Amendments to Reg SHO Sound Practices for Risk Management of Complex Structured Finance Activities Options Position Limits CEA Reauthorization Act, S. 1566/ CFTC Reauthorization Act HR 4473 Hedge Fund Supervision

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

Government targets: Commerce, Dept of (DOC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)

Energy trading issues - HR 4473, CFTC Reauthorization Act of 2005; S 2642, Oil and Gas Traders Oversight Act of 2006; S 1566, Commodity Exchange Reauthorization Act of 2005

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

CFTC Reauthorization (S. 1566)

Client expense: Not reported · Firm income: $200,000

Government targets: SENATE

S1566, Commodity Exchange Reauthorization Act of 2005 Commodity Futures Trading Commission Reauthorization Advocate to vest more responsibility with commodity exchanges

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 685, H.R. 1153, H.R. 1185, H.R. 1224, H.R. 1638, H.R. 1640, H.R. 4221, S. 256, S. 467, S. 751, S. 1326, S. 1332, S. 1408, S. 1562, S. 1566, S. 1586, S. 1932

Client expense: $2,020,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Energy, Dept of, Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

H.R. 1638, H.R. 4618, S. 5, S. 1566

Client expense: $2,020,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Energy, Dept of, Federal Deposit Insurance Corporation (FDIC), Federal Energy Regulatory Commission (FERC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office

S. 1566, H.R. 4473 CFTC Reauthorization, all provisions H.R. 2864, Water Resources Development Act, all provisions

Client expense: Not reported · Firm income: $340,000

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