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Shareholder Bill of Rights Act of 2009
Legislative Progress
Momentum (last 30 days)
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0 actions · 0 new cosponsors · 0 votes
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0d open
vs 4,048 other S bills in the 111th — cohort avg 29d
No CRS summary is available for this bill yet. The source title, actions, sponsors, and text versions below come from Congress.gov.
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Sources: Congress.gov
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 710 To secure additional Tier I capital for the U.S. banking system from parties other than the federal government by providing authority to the secretary of the treasury to guaranty certain new preferred stock investments made by public pensions acting in a collective fashion, and for other purposes HR 1754 To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the federal government, and for other purposes H.R.2221: To protect consumers by requiring reasonable security policies and procedures to protect computerized data containing personal information, and to provide for nationwide notice in the event of a security breach. HR. 3126: Establishment of the Consumer Financial Protection Agency H.R. 3269: To amend the Securities Exchange Act of 1934 to provide shareholders with an advisory vote on executive compensation and to prevent perverse incentives in the compensation practices of financial institutions HR. 3310: To reform the financial regulatory system of the United States, and for other purposes H.R. 4173: to provide for financial regulatory reform, to protect consumers and investors, to enhance federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, executive compensation H.R. 6334: to amend the Community Reinvestment Act of 1977 to improve the assessments of regulated financial institutions S 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities. S. 961 to authorize the regulation of credit default swaps and other swap agreements, and for other purposes S. 1074 to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives S.1661: A bill to protect older Americans from misleading and fraudulent marketing practices, with the goal of increasing retirement security. S 3217 To promote the financial stability of the United States by improving accountability and transparency in the financial system, to end `too big to fail', to protect the American taxpayer by ending bailouts, to protect consumers from abusive financial services practices - regulatory reform
Client expense: $425,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · second_quarter · Financial Institutions/Investments/Securities
H.R. 2861, Shareholder Empowerment Act of 2009; all provisions H.R. 4173, Restoring American Financial Stability Act of 2010, all provisions S. 1074, Shareholder Bill of Rights Act of 2009; all provisions S. 3217, Restoring American Financial Stability Act of 2010; all provisions
Client expense: $2,990,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Labor, Dept of (DOL), Office of Management & Budget (OMB), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · first_quarter · Financial Institutions/Investments/Securities
H.R. 4191, Let Wall Street Pay for the Restoration of Main Street Act S. 2927, Wall Street Fair Share Act S. 1074, Shareholder Bill of Rights S. 1551, Liability for Aiding and Abetting Securities Violation Act H.R. 4213, Webb-Boxer Amendment H.R. 2861, Shareholder Empowerment Act H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 S. 1691, the Comprehensive Derivatives Regulation Act of 2009 H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009 H.R. 3795, Over-the-Counter Derivatives Markets Act of 2009 S. 896, Helping Families Save Their Homes Act of 2009 H.R. 3126, Consumer Financial Protection Agency Act of 2009 S. 1073, Rating Accountability and Transparency Enhancement Act of 2009 Restoring American Financial Stability Act of 2010 (Bill number not yet assigned) Securities Exchange Act Release No. 60999; File No. SR-FINRA-2009-077 SEC S7-10-09 Facilitating Shareholder Director Elections House Financial Services Committee, Compensation in the Financial Industry (no specific legislation introduced) Capital Markets, Insurance and Government Sponsored Enterprises Subcommittee hearing, Corporate Governance after Citizens United (no specific legislation introduced) Nomination of Ben Bernanke as Chairman of the Federal Reserve Various issues related to; proposed tax on banks, Proposal to Establish a Quotation Consolidation Facility, Financial Crisis Responsibility Fee and implementation issues on Sarbanes-Oxley (no specific legislation introduced) Official Covered Positions for Jonthan Jachym: Intern, SEC Office of International Affairs Intern, FINRA Division of Market Regulation Intern, FINRA Office of the General Counsel
Client expense: $25,120,000 · Firm income: Not reported
H.R. 4173, "Dodd-Frank Wall Street Reform and Consumer Protection Act"; S. 3217, "Restoring American Financial Stability Act of 2010"; H.R. 851, "Executive Compensation and Corporate Governance Act"; H.R.1586, "To impose an additional tax on bonuses received from certain TARP recipients"; H.R.1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008; H.R.3269, Corporate and Financial Institution Compensation Fairness Act; H.R.857, Limit Executive Compensation Abuse Act; S. 360, Cap Executive Officer Pay Act; S. 638, Financial and Economic Literacy Improvement Act; S.1006, Excessive Pay Shareholder Approval Act; S1074, Shareholder Bill of Rights Act,; S. 2832 Lifetime Income Disclosure Act
Client expense: $867,923 · Firm income: Not reported
2010 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009; S. 1074, Shareholder Bill of Rights Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R 3817, Investors Protection Act; H.R. 4173, the Wall Street Reform and Consumer Protection Act; SEC proposed rule of "Facilitating Shareholder Director Nominations" (File No. S7-10-09); issues related to consumer credit; Regulation Z H.R. 2695 and S. 1212, the Credit Card Fair Free Act; H.R. 2382, Credit Card Interchange Fees Act of 2009; Issues related to the Credit CARD Act, H.R. 6247, including regulation Z changes; Restoring American Financial Stability Act of 2010; SEC IFRS Convergence; H.R. 2861, Shareholder Empcurerment Act of 2009; H.R. 3272, Corporate Convernance Reform Act of 2009; H.R. 3351, Proxy Voting Transparency Act of 2009; FinCEn proposed regulation regarding prepaid access; HR 5502, transition relief to Credit CARD Act; SEC proposed rules impementing Dodd-Frank corporate government changes (including CEO-median pay ratio disclosure, shareholder approval of executive compensation, whistleblower award program).
Client expense: $540,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Army, Dept of (Corps of Engineers), Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Trade Commission (FTC), General Services Administration (GSA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Maritime Administration (MARAD), Natl Economic Council (NEC), Natl Security Council (NSC), Office of Management & Budget (OMB), Pipeline & Hazardous Materials Safety Administration, SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), St. Lawrence Seaway Development Corporation, State, Dept of (DOS), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR), White House Office
Government targets: HOUSE OF REPRESENTATIVES, SENATE
Government targets: Agriculture, Dept of (USDA), Commerce, Dept of (DOC), Consumer Product Safety Commission (CPSC), Equal Employment Opportunity Commission (EEOC), Federal Communications Commission (FCC), Federal Reserve System, Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Labor Relations Board (NLRB), Office of Management & Budget (OMB), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Customs & Border Protection, U.S. Trade Representative (USTR), White House Office
2010 · third_quarter · Budget/Appropriations
S 3454/HR 5136 - National Defense Authorization Act for Fiscal Year 2011; HR 4899 - Supplemental Appropriations Act, 2010; Defense Budget and Acquisition Policy issues: defense funding levels, organizational conflict of interest; HR 2021 - Savings Recovery Act of 2009; HR 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009; HR 3936 - Preserve Benefits and Jobs Act of 2009; HR 4213 - Unemployment Compensation Extension Act of 2010; S 1006 - Excessive Pay Shareholder Approval Act; S 1007 - Excessive Pay Capped Deduction Act of 2009; S 1074 - Shareholder Bill of Rights Act of 2009; HR 2861 - Shareholder Empowerment Act of 2009; HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act; S (TBD) - Bill Restoring American Financial Stability Act of 2010; HR 422 - To amend the Internal Revenue Code of 1986 to extend the research credit through 2010 and to increase and make permanent the alternative simplified research credit; S 1203 - Grow Research Opportunities With Taxcredits' Help Act; FY10 CR (thru 12/23/09):HRes64; Making further continuing appropriations for fiscal year 2010, and for other purposes; S 3729/HR 5781 - National Aeronautics and Space Administration Authorization Act of 2010 including provisions related to funding for space programs; FY10 NASA, Conf.: Final conference authorization was the Senate version, passed to the President on 9/30/2010; S 3800/ HR (TBD) - Department of Defense Appropriations Act, 2011 including all provisions related to aircraft and tecnhology programs and procurement and research, development, test & evaluation programs; S 3636 - Commerce, Justice, Science, and Related Agencies Appropriations Act, 2011 including all provisions relating to FBI Biometric Programs, NGI, information technology programs, and close out of Census 2010 Programs; S 3615/HR 5850 - Military Construction and Veterans Affairs, and Related Agencies Appropriations Act, 2011 including all provisions relating to Veterans Healthcare Information Technology Programs, and Electronic Patient Care Records; S 3644/HR 5850 - Transportation, Housing and Urban Development, and Related Agencies Appropriations Act, 2011 including all provisions related to Aviation, Airport Security, and HUD Working Capital Fund (WCF), and FHA Transformation Fund; S 3677/HR (TBD) - Financial Services and General Government Appropriations Act, 2011 including all provisions related to the National Archives and Records Administration; Treasury and Financial Systems; and the IRS; S 3606/HR (TBD) - Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2011 including all provisions related to the Food and Agricultural Safety Systems; Food and Drug Administration; and food safety early warning surveillance systems; S 3686/HR (TBD) - Departments of Labor, Health and Human Services, and Education, and Related Agencies Appropriations Act, 2011 including all provisions related to the Social Security Administration information technology infrastructure; Centers for Medicare/Medicaid Services and the Department of Education; Support for the President's Budget Request for FY11 State/Foreign Operations; HR 3081 - Continuing Appropriations Act, 2011 including provisions related to space programs
Client expense: $3,020,000 · Firm income: Not reported
Government targets: Air Force, Dept of, Army, Dept of (Other), Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Executive Office of the President (EOP), Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Natl Aeronautics & Space Administration (NASA), Natl Security Council (NSC), Navy, Dept of, Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Transportation, Dept of (DOT), White House Office
2010 · second_quarter · Financial Institutions/Investments/Securities
HR 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009; HR 3936 - Preserve Benefits and Jobs Act of 2009; HR 4213 -American Jobs and Closing Tax Loopholes Act of 2010; HR 3962 - Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010; S 3217/HR 4173 - Restoring American Financial Stability Act of 2010; HR 2021 - Savings Recovery Act of 2009; S 1006 - Excessive Pay Shareholder Approval Act; S 1007 - Excessive Pay Capped Deduction Act of 2009; S 1074 - Shareholder Bill of Rights Act of 2009; S 2861 - Shareholder Empowerment Act of 2009; S 560/HR 1409 - Employee Free Choice Act of 2009
Client expense: $3,210,000 · Firm income: Not reported
Government targets: Air Force, Dept of, Army, Dept of (Other), Commerce, Dept of (DOC), Defense, Dept of (DOD), Energy, Dept of, Export-Import Bank of the United States (EXIM Bank), Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Interior, Dept of (DOI), Justice, Dept of (DOJ), Natl Aeronautics & Space Administration (NASA), Natl Security Council (NSC), Navy, Dept of, Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Transportation, Dept of (DOT)
2010 · third_quarter · Financial Institutions/Investments/Securities
Various legislative Proposals regarding financial regulatory reform- relating to consumer loans, derivatives market proposals, regulatory oversight and consumer products (H.R. 4173 and related conference report, H.R. 4516, S.1074, H.R. 885, S. 1354, S. 1691, S. 2756, S. 3149, S.664, S.400, S. 566, S 608) The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and implementation; Financial Literacy & Education Efforts. Community Reinvestment Modernization Act (H.R. 1479, H.R. 6334); Small Business Jobs & Credit Act of 2010 (H.R. 5297); Working Small Business Regulatory Relief Act (H.R. 535)
Client expense: $120,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE
2010 · second_quarter · Financial Institutions/Investments/Securities
Various legislative Proposals regarding financial regulatory reform- relating to consumer loans, derivatives market proposals, regulatory oversight and consumer products (H.R. 4173 and related conference report, H.R 4516, S.1074, H.R. 885, S. 1354, S. 1691, S. 2756, S. 3149, S.664, S.400, S. 566, S 608); Financial Literacy & Education Efforts; Community Reinvestment Modernization Act (HR 1479)
Client expense: $180,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE
2010 · first_quarter · Financial Institutions/Investments/Securities
Various Senate Proposals regarding financial regulatory reform- relating to consumer loans, derivatives market proposals and regulatory oversight. (S. 3052, S.1074, S. 2183, S. 1691, S. 344 and draft legislative proposals "Restoring American Financial Stability Act of 2010") Consumer products (S. 566, S. 608); Financial Literacy & Education Efforts Community Reinvestment Modernization Act (HR 1479) Ongoing Restructuring of GMAC pursuant to the Bank Holding Company Act
Client expense: $260,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Taxation/Internal Revenue Code
S.722, "Taxpayer Certainty and Relief Act of 2009." A bill to amend the Internal Revenue Code of 1986 to provide for permanent alternative minimum tax relief, middle class tax relief, and estate tax relief, and to permanently extend certain expiring provisions, and for other purposes. S.1074, "Shareholder Bill of Rights Act of 2009." A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. H.R.4213, "Tax Extenders Act of 2009." To amend the Internal Revenue Code of 1986 to extend certain expiring provisions, and for other purposes. H.R.2989, "401(k) Fair Disclosure and Pension Security Act of 2009." To amend the Employee Retirement Income Security Act of 1974 to provide special reporting and disclosure rules for individual account plans and to provide a minimum investment option requirement for such plans, to amend such Act to provide for independent investment advice for participants and beneficiaries under individual account plans, and to amend such Act and the Internal Revenue Code of 1986 to provide transitional relief under certain pension funding rules added by the Pension Protection Act of 2006. H.R.4849, "Small Business and Infrastructure Jobs Tax Act of 2010." To amend the Internal Revenue Code of 1986 to provide tax incentives for small business job creation, extend the Build America Bonds program, provide other infrastructure job creation tax incentives, and for other purposes. H.R.4149, To amend the Internal Revenue Code of 1986 to provide a renewable electricity integration credit for a utility that purchases or produces renewable power. S.2854, A bill to amend the Internal Revenue Code of 1986 to extend and modify the credit for new qualified hybrid motor vehicles, and for other purposes. (Tax credits for EV's). S.3442, "Electric Vehicle Deployment Act of 2010." A bill to promote the deployment of plug-in electric drive vehicles, and for other purposes. S.3793, "Job Creation and Tax Cuts Act of 2010", (extension of tax credits for EV's and energy efficiency). H.R.4853, Tax Relief, Unemployment Reauthorization and Job Creation Act of 2010, (dividend tax rate extension, bonus depreciation/expensing, and energy efficiency tax incentives). H.R.5372, To amend the Internal Revenue Code of 1986 to treat any business credit attributable to wind, solar, or biomass electricity production and investment in solar energy property as refundable to the extent the taxpayer makes new wind, solar, and other renewable energy investments. S.2899, "Renewable Energy Incentive Act." A bill to amend the American Recovery and Reinvestment Act of 2009 and the Internal Revenue Code of 1986 to provide incentives for the development of solar energy. S.1639, "Expanding Industrial Energy Efficiency Incentives Act of 2009." A bill to amend the Internal Revenue Code of 1986 to improve and extend certain energy-related tax provisions, and for other purposes. H.R.4599, "Renewable Energy Expansion Act of 2010." To amend the Internal Revenue Code of 1986 to provide an elective payment for specified energy property. H.R.4851, "Continuing Extension Act of 2010." To provide a temporary extension of certain programs, and for other purposes. H.R. 5297, "Small Business Lending Fund Act", (bonus depreciation) Renewable Energy Tax Incentives in general.
Client expense: $1,140,000 · Firm income: Not reported
Government targets: Energy, Dept of, Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Nuclear Regulatory Commission (NRC), SENATE, Treasury, Dept of, White House Office
2010 · fourth_quarter · Labor Issues/Antitrust/Workplace
Shareholder Bill of Rights Act of 2009 - S. 1074 Issues related to shareholder proxy access Paycheck Fairness Act - S. 182, S. 3772 Issues related to Occupational Safety and Health Act reform - HR 5663, S. 3671
Client expense: $220,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
Proxy access issues. Issues relating to executive compensation and shareholder votes. S. 1074, Shareholder Bill of Rights Act of 2009. H.R. 2861, Shareholder Empowerment Act of 2009. Corporate governance in general. H.R. 3817, the Investor Protection Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203); Title IX.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2010 · fourth_quarter · Banking
Proxy Access issues. Issues relating to executive compensation and shareholder votes. S. 1074, Shareholder Bill of Rights Act of 2009. H.R. 2861, Shareholder Empowerment Act of 2009. Corporate governance in general. H.R. 3817, the Investor Protection Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203); Title IX.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2010 · fourth_quarter · Utilities
Green jobs, battery manufacturing and related tax incentives for energy infrastructure (including bonus depreciation, efficiency, smart meters, wind, solar, and other technologies); NY/Rockaways Natural Gas Pipeline Projects; New York and New England energy infrastructure, electric and natural gas transmissions, and gas supply; NY and New England clean heat and power projects, natural gas-fueled vehicle projects, school energy efficiency projects, Long Island generation repowering, and other energy and efficiency initiatives; LIHEAP funding, including S. 3686, Depts. of Labor, Health and Human Services and Education and Related Agencies Appropriations Act of 2011, FY 2011 Budget Resolution (House Con. Res. 281 and Senate Con. Res. 60), H.R. 4554, Energy Assistance for American Families Act, and related legislation; S. 1074, Shareholder Bill of Rights of 2009, provisions related to corporate governance and shareholders interests; H.R. 1622, S. 1350, provisions related to research and development of natural gas vehicle technologies; H.R. 5696/S. 3487, Electric Consumer Right to Know Act, provisions related to electric utilities; H.R. 3082, Continuing Appropriations Act of 2011 (P.L. 111-322, amending P.L 111-242), provisions related to LIHEAP funding
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Labor Issues/Antitrust/Workplace
H.R. 2861, The Shareholder Empowerment Act; S. 1074, The Shareholder Bill of Rights (corporate governance and executive compensation)
Client expense: Not reported · Firm income: $60,000
Government targets: Commerce, Dept of (DOC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 2989 40l(k) Fair Disclosure and Pension Security Act of 2009, provisions related to defined benefit funding relief provisions HR 2021 Savings Recovery Act of 2009, provisions related to defined benefit funding relief provisions S 1074 Shareholder Bill of Rights Act of 2009, provisions related to shareholder authority over the nomination, election and compensation of public company executives HR 3126 Consumer Financial Protection Agency Act of 2009, all provisions relating to scope of coverage as well as those that could have operational impacts on company were they apply to business activities, including extension of credit, debt collection and other activities S 2927 the Wall Street Fair Share Act of 2009, as it relates to derivatives and retirement accounts HR 4191 Let Wall Street Pay for the Restoration of Main Street Act of 2009, as it relates to derivatives and retirement accounts
Client expense: $2,910,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, Office of Science & Technology Policy (OSTP), Office of the Vice President of the United States, SENATE, State, Dept of (DOS), U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 2221 The Data Accountability and Trust Act; provisions relating to non-applicability to GLB-regulated financial firms H.R. 4884 United States Covered Bond Act of 2010; entire bill S. 931 Arbitration Fairness Act of 2009; provisions relating to securities industry and franchise relationships S. 1074 Shareholder Bill of Rights Act; entire bill P.L. 111-203 - Dodd Frank Wall Street Reform and Consumer Protection Act; provisions requiring regulatory studies on BD/IA harmonization and financial planning
Client expense: $270,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Financial Institutions/Investments/Securities
S. 139 Data Breach Notification Act S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 3258 Modernizing and Strengthening Investor Protection Act of 2010 S. 3742 Data Security and Breach Notification Act of 2010 H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3351 Proxy Voting Transparency Act of 2009 H.R. 4790 Shareholder Protection Act of 2010 (political activity) H.R. 6334 American Community Investment Reform Act of 2010 (CRA) Money Market Mutual Fund Regulation
Client expense: $997,907 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · fourth_quarter · Utilities
Green jobs, battery manufacturing and related tax incentives for energy infrastructure (including bonus depreciation, efficiency, smart meters, wind, solar, and other technologies); New England energy infrastructure, electric and natural gas transmissions, and gas supply; New England clean heat and power projects, natural gas-fueled vehicle projects, school energy efficiency projects, and other energy and efficiency initiatives; LIHEAP funding, including ARRA of 2009 (P.L. 111-5), FY 2009 Omnibus Appropriations (H.R. 1105 and related legislation), FY 2010 Budget Resolution (House Concurrent Resolution 85 and Senate Concurrent Resolution 13), FY 2010 Labor-HHS Appropriations, H.R. 3288, Transportation, Housing and Urban Development, and Related Agencies Appropriations Act of 2010, and related legislation; S. 1074, Shareholder Bill of Rights of 2009, provisions related to corporate governance and shareholders interests; FERC policy matters and dockets related to regulation of natural gas and electricity utilities including wholesale market competition, ISOs/RTOs, transmission access, NERC reliability standards, interconnection, infrastructure siting, and regulation of public utility holding companies; H.R. 1622, S. 1350, provisions related to research and development of natural gas vehicle technologies.
Client expense: Not reported · Firm income: $31,500
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Retirement
Limit Executive Compensation Abuse Act - H.R. 857 The Savings for American Families Future Act of 2009 H.R. 1961 The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984 Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988 Savings Recovery Act H.R. 2021 Retirement Security Needs Lifetime Pay Act H.R. 2748 Retirement Savings Transparency Act of 2009 - H.R. 2792 The Defined Contribution Plan Fee Transparency Act H.R. 2779 401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989 Consumer Financial Protection Agency Act of 2009 H.R. 3126 Foreign Account Tax Compliance Act of 2009 H.R. 3933 Preserve Benefits and Jobs Act of 2009 H.R. 3936 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962/Public Law No: 111-192 Retirement Fairness Act H.R. 4126 Sensible Transparency for Retirement Plans Act H.R. 4146 Tax Technical Corrections Act of 2009 H.R. 4169 Dodd-Frank Wall Street Reform and Consumer Protection Act - Restoring American Financial Stability Act of 2010 H.R. 4173, Public Law No: 111-203 American Workers, State, and Business Relief Act H.R. 4213/Unemployment Compensation Extension Act of 2010 (tax extenders) Public Law No: 111-205 Small Businesses Add Value for Employees Act of 2009 (SAVE Act) H.R. 4742 Middle Class Tax Cut Act (Senate Amendment 4727) package of tax extensions and other provisions to the defined benefit pension funding relief provisions, and a provision extending parity for employee transit subsidies Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act H.R. 4853 Amendment to a Federal Aviation Administration funding extension bill H.R. 4915 Medicare and Medicaid Extenders Act H.R. 4994 Employee Misclassification Prevention Act (EMPA) H.R. 5107 Small Business Jobs and Credit Act of 2010 H.R. 5297 tax extenders, defined benefit pension plan funding relief - technical corrections from H.R. 3962 Automatic IRA Act of 2010 H.R. 6099 Fair Playing Field Act of 2010 H.R. 6128 (worker classification) Public Employee Pension Transparency Act - H.R. 6484 Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152 new compensation deduction limits on entities receiving health insurance premiums (162 (m)(6)) Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), swaps, business conduct standards, fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds and contracts, retirement plan administration, compensation disclosure issues Pension Funding - additional funding relief and technical corrections for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods and premium submission issues, plan termination issues Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, conversions to Roth 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses, lifetime income issues, nondiscrimination rules for retirement plans, alternative pension investments, accounting transparency for pensions, plan loans, tax expenditures for retirement plans National Commission on Fiscal Responsibility and Reform implications for benefits Senate Cap Executive Officer Pay Act of 2009 - S. 360 The Defined Contribution Fee Disclosure Act of 2009 - S. 401 Shareholder Bill of Rights Act S. 1074 Retirement Security for Life Act of 2009 S. 1297 Pension Benefit Guaranty Corporation (PBGC) Governance Improvement Act of 2009 S. 1544 Foreign Account Tax Compliance Act of 2009 S. 1934 Lifetime Income Disclosure Act S. 2832 Create Jobs and Save Benefits Act of 2010 S. 3157 Restoring American Financial Stability Act/Wall Street Transparency and Accountability Act S. 3217 Employee Misclassification Prevention Act (EMPA) S. 3254 Automatic IRA Act of 2010 S. 3760 Paycheck Fairness Act S. 3772 Fair Playing Field Act of 2010 S. 3786 (worker classification) Job Creation and Tax Cuts Act of 2010 S. 3793 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962, Public Law No: 111-192 American Workers, State, and Business Relief Act /American Jobs and Closing Tax Loopholes Act (tax extenders) H.R. 4213, & Substitute amendments Dodd-Frank Wall Street Reform and Consumer Protection Act - Restoring American Financial Stability Act of 2010 H.R. 4173, Public Law No: 111-203 Middle Class Tax Cut Act (Senate Amendment 4727) package of tax extensions and other provisions to the defined benefit pension funding relief provisions, and a provision extending parity for employee transit subsidies Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act H.R. 4853 Amendment to a Federal Aviation Administration funding extension bill H.R. 4915 Medicare and Medicaid Extenders Act H.R. 4994 Small Business Jobs and Credit Act of 2010 H.R. 5297 (revised substitute) Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152 new compensation deduction limits on entities receiving health insurance premiums (162 (m)(6)) Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), swaps, business conduct standards, fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds and contracts, retirement plan administration, compensation disclosure issues Pension funding additional funding relief and technical corrections for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods and premium submission issues, plan termination and governance issues Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, automatic IRAs, conversions to Roth 401(k) plans, investment advice, investment selection (target date funds), the Savers Credit, lifetime income issues, nondiscrimination rules for retirement plans, plan loans, tax expenditures for retirement plans, long-term disability policies (LTDs) National Commission on Fiscal Responsibility and Reform implications for benefits Pension funding relief - adequacy of defined benefit vehicles, hybrids, proposed hybrid retirement plan regulations, retirement plan designs, and tax treatment of expatriates Investment advice - adequacy of defined contribution vehicles, investment selection (target date funds) and annuity issues, automatic/mandatory individual retirement accounts (IRAs), proposed regulations regarding target date funds (TDFs) and qualified default investment alternatives (QDIAs) Disclosure for defined contribution (DC) and defined benefit (DB) plans and service providers -ERISA Section 408 (b) (2), Fiduciary requirements 401 (k) participant fee disclosure regulations, proposed definition of fiduciary for investment advice arrangements, in-plan Roth conversions issues Defined Benefit (DB) plan year filing issues Form 5500 (EFAST) Cash balance and pension equity plans, market rate of return for hybrid plans Nonqualified deferred compensation (NQDC), new compensation deduction limits on entities receiving health insurance premiums 162 (m) (6) Pension Benefits Guaranty Corporation (PBGC) premium funding target methods (variable rate premiums), premium submission and plan termination issues, proposed regulations - (ERISA Section 4062(e)) Foreign bank account reporting, Report of Foreign Bank and Financial Accounts (FBAR) Financial services regulatory reform, executive compensation disclosure issues, involvement with employee benefit plans, Swaps, definition of major swap participant and major security-based swap participant, business conduct standards, family offices, Domestic plan asset investment issues Puerto Rican plan trust issues Multiemployer plan issues
Client expense: $272,633 · Firm income: Not reported
Government targets: Centers For Medicare and Medicaid Services (CMS), Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Labor, Dept of (DOL), Pension Benefit Guaranty Corporation (PBGC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · fourth_quarter · Economics/Economic Development
- S. 1074, "Shareholder Bill of Rights", regarding all provisions. - S. 3217, "Restoring American Financial Stability Act of 2010", regarding Subtitle E. -HR 2861, "Shareholder Empowerment Act of 2009", regarding all provisions. - HR 4173, "Dodd-Frank Act", a/k/a, "To provide for the financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes", a/k/a, "Wall Street Reform & Consumer Protection Act of 2009", regarding Title IX.
Client expense: $1,000,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 3890: Accountability and Transparency in Rating Agencies Act S. 139: Data Breach Notification Act S 3579: Data Security Act of 2010 S 3155: International Cybercrime Reporting and Cooperation Act HR 3818: Private Fund Investment Advisers Registration Act HR 5548/S 3480: Protecting Cyberspace as a National Asset Act of 2010 HR 4173/S. 3217: Dodd-Frank Wall Street Reform & Consumer Protection Act (Derivatives, CFBP, systemic risk, Thrift regulation, ILC, executive compensation, interchange fees, Volker Rule, bank tax) P.L. 111-517 HR 3126: Consumer Financial Protection Agency Act of 2009 HR 3269: Corporate and Financial Institution Compensation Fairness Act HR 627/S. 235: Credit Card Bill of Rights; PL 111-24 HR 3606/3639/3763: Consumer Financial Protection Agency HR 2221: Data Accountability and Trust Act S. 1006: Excessive Pay Shareholder Approval Act S. 1007: Excessive Pay Capped Deduction Act of 2009 HR 3795: Over the Counter Derivatives Market S. 1074: Shareholder Bill of Rights Acts of 2009 HR 2861: Shareholder Empowerment Act of 2009 HR 5297: Small Business Jobs & Credit Act of 2010 P.L. 111-499
Client expense: $460,000 · Firm income: Not reported
Government targets: Defense, Dept of (DOD), Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Natl Guard, SENATE
2010 · fourth_quarter · Computer Industry
Protection of critical infrastructure and cyber security. Licensing, competition, and government procurement in the software industry. Health IT procurement; Health reform & related health IT issues; HHS rulemaking proceedings related to Recovery Act implementation. Private sector preparedness; cyber research and development. Standards and interoperability. Competition in the online advertising and software markets. Competitiveness and the high-tech sector. Policy issues in cloud computing. Electronic Communications Privacy Act (ECPA). S. 773, Cyber-Security Act of 2010. H.R. 1, American Recovery and Reinvestment Act. H.R. 3200, America's Affordable Health Choices Act. S. 1679, Affordable Health Choices Act. America's Healthy Future Act. Open government, government modernization and technology choice. Policy issues on cyber crime and cyber security. H.R. 4061, Cyber Security Enhancement Act of 2009. S. 1074, Shareholder Bill of Rights Act of 2009. H.R. 3590, Patient Protection and Affordable Care Act. H.R. 4872, Health Care and Education Reconciliation Act of 2010. S. 3155, International Cybercrime Reporting and Cooperation Act. S. 3217; H.R. 4173, Restoring American Financial Stability Act of 2010. S. 1490, Personal Data Privacy and Security Act of 2009. S. 3480, Protecting Cyberspace as a National Asset Act of 2010. H.R. 5548, Protecting Cyberspace as a National Asset Act of 2010. S. 3193, International Cyberspace and Cybersecurity Coordination Act of 2010. S. 1490, Personal Data Privacy and Security Act of 2009. H.R. 4900, Federal Information Security Amendments Act of 2010. S. 3538, National Cyber Infrastructure Protection Act of 2010. Government procurement policies in China. S. 3454; H.R. 5136, National Defense Authorization Act for Fiscal Year 2011. H.R. 6351, Strengthening Cybersecurity for Critical Infrastructure Act. H.R. 6423, Homeland Security Cyber and Physical Infrastructure Protection Act of 2010. H.R. 6523, Ike Skelton National Defense Authorization Act for Fiscal Year 2011.
Client expense: $1,710,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Defense, Dept of (DOD), Education, Dept of, Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Institute of Standards & Technology (NIST), Natl Science Foundation (NSF), Natl Security Council (NSC), Office of Management & Budget (OMB), Office of Science & Technology Policy (OSTP), Patent & Trademark Office (PTO), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Copyright Office, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Utilities
Green jobs, battery manufacturing and related tax incentives for energy infrastructure (including bonus depreciation, efficiency, smart meters, wind, solar, and other technologies); NY/Rockaways Natural Gas Pipeline Projects; New York and New England energy infrastructure, electric and natural gas transmissions, and gas supply; NY and New England clean heat and power projects, natural gas-fueled vehicle projects, school energy efficiency projects, Long Island generation repowering, and other energy and efficiency initiatives; LIHEAP funding, including S. 3686, Depts. of Labor, Health and Human Services and Education and Related Agencies Appropriations Act of 2011, FY 2011 Budget Resolution (House Con. Res. 281 and Senate Con. Res. 60), H.R. 4554, Energy Assistance for American Families Act, and related legislation; S. 1074, Shareholder Bill of Rights of 2009, provisions related to corporate governance and shareholders interests; H.R. 1622, S. 1350, provisions related to research and development of natural gas vehicle technologies; H.R. 5696/S. 3487, Electric Consumer Right to Know Act, provisions related to electric utilities; S. 3856, Pipeline Transportation Safety Improvement Act of 2010; S. 3824, Pipeline Transportation Safety Improvement Act of 2010, H.R. 6295, Pipeline Safety and Community Empowerment Act of 2010; H.R. 3082, Continuing Appropriations Act of 2011 (P.L. 111-322, amending P.L. 111-242), provisions related to LIHEAP funding.
Client expense: $960,000 · Firm income: Not reported
Government targets: Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Financial Institutions/Investments/Securities
H.R. 2861, Shareholder Empowerment Act of 2009, to amend the Securities Exchange Act of 1934 to provide for rules and standards relating to the election of boards of directors and certain requirements relating to compensation of executives S. 1074, Shareholder Bill of Rights Act of 2009, to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009, to provide shareholders with an advisory vote on executive compensation and to prevent perverse incentives in the compensation practices of financial institutions S. 2813, Investors Rights and Corporate Accountability Act, all provisions relating to executive compensation and corporate governance. S. 3049, Corporate Executive Accountability Act, all provisions related to executive compensation and corporate governance. S. 3217, Restoring American Financial Stability Act of 2010, all provisions relating to executive compensation and corporate governance P.L. 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, all provisions relating to executive compensation and corporate governance Proposed guidance by the Federal Reserve related to executive compensation in large complex banking organizations. Discussions with and comment letter to SEC regarding implementation of the executive compensation provisions in P.L. 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Comment letter to SEC regarding proposed regulations implementing Section 951 of P.L. 111-203, Dodd-Frank Wall Street Return and Consumer Protection Act of 2010. Comment letter to SEC regarding concept release on proxy voting.
Client expense: Not reported · Firm income: $400,000
Government targets: Employment Standards Administration, Equal Employment Opportunity Commission (EEOC), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Labor Relations Board (NLRB), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · fourth_quarter · Taxation/Internal Revenue Code
H.R.5297, Extend bonus depreciation provisions; cancellation of indebtedness provisions in 2010; General discussion with Members and Staff on tax reform agenda; Administration's corporate governance, executive compensation and SEC reform proposals; S. 1074, Shareholder Bill of Rights Act of 2009, "Say on Pay" legislation; H.R. 4213/S.3793, Tax Extenders Act of 2009, extend bonus depreciation; H.R. 3548, Unemployment Compensation Act of 2009; H.R. 4173/S. 3217, Financial Regulatory Reform. H.R.4853, Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010, 100% expensing provision in capital improvements.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Banking
Credit card, interchanges fees and practices GSE Reform Govt Purchase Card S.Credit Card Fair Fee Act Regulatory Restructuring; FDIC Assessments; S. 73, a bill to establish a systematic mortgage modification program at the FDIC; S. 895, a bill which included a provision known as "cram-down" of primary mortgages; H.R. 37, a bill to establish a systematic mortgage modification program at the FDIC; H.R. 627, Credit Cardholders' Bill of Rights Act of 2009; H.R. 1106, prevent mortgage foreclosures and enhance mortgage credit availability; H.R. 2309, The Consumer Credit and Debt Protection Act of 2009; H.R. 2382, Credit Card Interchange Fees Act of 2009; H.R. 2897, Bank Accountability and Risk Assessment Act of 2009; H.R. 3126, Consumer Financial Protection Agency Act of 2009; H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009; S. 1074, Shareholder Bill of Rights Act of 2009; H.R. 4173, to provide for financial regulatory reform, to protect consumers and investors, to enhance Federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, and for other purposes; H.R.5038, Fair Access to Credit and Job Creation Act of 2010; H.R.5159, Safe, Accountable, Fair, and Efficient Banking Act of 2010; H.R.5502, To amend the effective date of the gift card provisions of the Credit Card Accountability Responsibility and Disclosure Act of 2009; H.AMDT.697 to H.R.5297small banks to amortize losses on commercial real estate loans over a 10-year period, freeing up more capital for these small institutions to lend to small businesses; H.R. 3639 and S. 1833, the Expedited CARD Reform for Consumers Act; S. 1927, Credit Card Rate Freeze Act of 2009; S. 1799, The Fairness and Accountability in Receiving Overdraft Coverage Act; H.R. 2221, Data Accountability and Trust Act; H.R. 5297, Small Business Jobs and Credit Act H.R. 5680, Predatory Lending Sunset Act H.R. 6225, Permanent End to TARP Act
Client expense: $1,780,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Council of Economic Advisers (CEA), Environmental Protection Agency (EPA), Farm Credit Administration, Federal Accounting Standards Advisory Board (FASAB), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Justice, Dept of (DOJ), Natl Economic Council (NEC), Office of Management & Budget (OMB), Office of Personnel Management (OPM), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Transportation, Dept of (DOT), Treasury, Dept of, U.S. Copyright Office, U.S. Trade Representative (USTR), White House Office
2010 · fourth_quarter · Financial Institutions/Investments/Securities
S 1074 -- Shareholder Bill of Rights regarding executive compensation
Client expense: Not reported · Firm income: $30,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 710 To secure additional Tier I capital for the U.S. banking system from parties other than the federal government by providing authority to the secretary of the treasury to guaranty certain new preferred stock investments made by public pensions acting in a collective fashion, and for other purposes HR 1754 To create a systemic risk monitor for the financial system of the United States, to oversee financial regulatory activities of the federal government, and for other purposes H.R.2221: To protect consumers by requiring reasonable security policies and procedures to protect computerized data containing personal information, and to provide for nationwide notice in the event of a security breach. HR. 3126: Establishment of the Consumer Financial Protection Agency H.R. 3269: To amend the Securities Exchange Act of 1934 to provide shareholders with an advisory vote on executive compensation and to prevent perverse incentives in the compensation practices of financial institutions HR. 3310: To reform the financial regulatory system of the United States, and for other purposes H.R. 4173: to provide for financial regulatory reform, to protect consumers and investors, to enhance federal understanding of insurance issues, to regulate the over-the-counter derivatives markets, executive compensation H.R. 6334: to amend the Community Reinvestment Act of 1977 to improve the assessments of regulated financial institutions S 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities. S. 961 to authorize the regulation of credit default swaps and other swap agreements, and for other purposes S. 1074 to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives S.1661: A bill to protect older Americans from misleading and fraudulent marketing practices, with the goal of increasing retirement security. S 3217 To promote the financial stability of the United States by improving accountability and transparency in the financial system, to end `too big to fail', to protect the American taxpayer by ending bailouts, to protect consumers from abusive financial services practices - regulatory reform
Client expense: $425,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
S. 298. Financial Markets Commission Act (entire bill) S. 360. Cap Executive Pay Act (entire bill) S. 386. Fraud Enforcement and Recovery Act (entire bill) S. 566. Financial Product Safety Commission Act (entire bill) S. 664/ H.R. 1754. Financial Systems Stabilization and Reform Act (entire bill) S. 961. Authorizing the Regulation of Swaps (entire bill) S. 1006. Excessive Pay Shareholder Approval Act S. 1074. Shareholder Bill of Rights Act H.R. 74. Financial Oversight Commission H.R. 1664. To amend executive compensation and compensation not based on performance standards. H.R. 2221. Data Accountability and Trust Act (entire bill) H.R. 3795. Over-the-Counter Derivatives Markets Act of 2009 (entire bill) H.R. 3996. Financial Stability Improvement Act (entire bill) H.R. 3763. To Amend the Fair Credit Reporting Act to provide for an exclusion from Red Flag Guidelines for certain businesses(entire bill) H.R. 1575. End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (entire bill) H.R. 1586. To impose an additional tax on bonuses received from certain TARP recipients (entire bill) H.R. 3269. Corporate and Financial Institution Compensation Fairness Act (entire bill) S. 651. Compensation Fairness Act (entire bill) S. 1490. Personal Data Privacy and Security Act (entire bill) H.R. 4173/ S. 3217. Restoring America Financial Stability Act (entire bill) Issues related to credit based insurance scores. H.R. 1479. CRA Modernization Act (entire bill) H.R. 6334. To amend the Community Reinvestment Act of 1977 to improve the assessments of regulated financial institutions, and for other purposes (entire bill)
Client expense: $310,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Transportation, Dept of (DOT), Treasury, Dept of
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 2454, American Clean Energy and Security Act of 2009, provisions regarding OTC regulation HR 977, Derivatives Markets Transparency and Accountability Act of 2009, provisions regarding OTC regulation HR 3269, Corporate and Financial Institution Compensation Fairness Act of 2009, provisions regarding OTC regulation S. 1074, Shareholder Bill of Rights Act of 2009, provisions regarding OTC regulations. S 272, Derivatives Trading Integrity Act of 2009, provisions regarding OTC regulations PL 11-203, Dodd-Frank Wall Street Reform and Consumer Protection Act
Client expense: $176,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Banking
S. 1074 Shareholder's Bill of Rights Corporate Governance Financial Regulatory Reform
Client expense: $980,915 · Firm income: Not reported
Government targets: Bureau of Citizenship & Immigration Services (BCIS), Commerce, Dept of (DOC), Consumer Product Safety Commission (CPSC), Energy, Dept of, Environmental Protection Agency (EPA), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Trade Commission (FTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Health & Human Services, Dept of (HHS), Homeland Security, Dept of (DHS), Intl Trade Administration (ITA), Justice, Dept of (DOJ), Natl Security Council (NSC), Office of Science & Technology Policy (OSTP), Patent & Trademark Office (PTO), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Agency for International Development (USAID), U.S. Customs & Border Protection, U.S. Immigration & Customs Enforcement (ICE), U.S. International Trade Commission (ITC), U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
Financial Regulatory Reform HR 4173 Corporate Governance S 1074, HR 2861, HR 3351, HR 3272
Client expense: $187,668 · Firm income: Not reported
Government targets: Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2010 · fourth_quarter · Labor Issues/Antitrust/Workplace
Workforce, Shareholder Bill of Rights Act (S 1074) America Competes Act, EFCA (HR 1409, S 560) Alternate Dispute Resolution (S 931), Executive Compensation, i.e. "say on pay" & proxy access: (HR 4173 & Public Law 111-203 Dodd Frank Wall Street Reform & Consumer Protection Act).
Client expense: $75,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Council on Environmental Quality (CEQ), Energy, Dept of, Environmental Protection Agency (EPA), Export-Import Bank of the United States (EXIM Bank), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Overseas Private Investment Corp (OPIC), SENATE, State, Dept of (DOS), U.S. Trade & Development Agency (USTDA), U.S. Trade Representative (USTR)
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 2454, American Clean Energy and Security Act of 2009, provisions regarding OTC regulation HR 977, Derivatives Markets Transparency and Accountability Act of 2009, provisions regarding OTC regulation HR 3269,Corporate and Financial Institution Compensation Fairness Act of 2009, provisions regarding OTC regulation S. 1074, Shareholder Bill of Rights Act of 2009, provisions regarding OTC regulation S. 272, Derivatives Trading Integrity Act of 2009, provisions regarding OTC regulation PL 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
H.R. 2861/ S. 1074: The Shareholder Bill of Rights Act of 2009 H.R. 4173: Dodd-Frank Wall Street Reform and Consumer Protection Act Corporate Governance Derivatives
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)
2010 · third_quarter · Financial Institutions/Investments/Securities
HR 2989 401 (k) Fair Disclosure and Pension Security Act of 2009, provisions related to defined benefit funding relief provisions HR 2021 Savings Recovery Act of 2009, provisions related to defined benefit funding relief provisions S 1074 Shareholder Bill of Rights Act of 2009, provisions related to shareholder authority over the nomination, election and compensation of public company executives HR 3126 Consumer Financial Protection Agency Act of 2009, all provisions relating to scope of coverage as well as those that could have operational impacts on company where they apply to business activities, including extension of credit, collections and other activities HR 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act, as it relates to pension plans usage of derivatives tohedge risk and its impact on stable value funds in 401(k) plans S 3217 Restoring American Financial Stability Act of 2010, as it relates to pension plans usage of derivatives tohedge risk and its impact on stable value funds in 401(k) plans S 2927 the Wall Street Fair Share Act of 2009, as it relates to derivatives and retirement accounts HR 4191 Let Wall Street Pay for Restoration of Main Street Act of 2009, as it relates to derivatives and retirement accounts HR 4213 Unemployment Compensation Extension Act of 2010, as it relates to pension funding relief for defined benefit plans and provisions related to pension funding relief HR 3962 Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010, as it relates to defined benefit funding requirements
Client expense: $3,467,911 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Energy, Dept of, Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), SENATE, State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · third_quarter · Financial Institutions/Investments/Securities
Financial regulatory reform; derivatives regulation and clearing, including foreign Boards of Trade; short sale regulation; S. 1074, Shareholder Bill of Rights Act; all provisions H.R. 2861, Shareholder Empowerment Act of 2009; all provisions H.R. 2454, American Clean Energy And Security Act, derivatives title H.R. 3126, The Consumer Financial Protection Agency Act of 2009; provisions applicable to SEC and CFTC-regulated entities; H.R. 3795, The Over-the Counter Derivatives Markets Act of 2009; trading and clearing provisions; H.R. 977, The Derivatives Markets Transparency and Accountability Act of 2009; trading and clearing provisions; H.R. 4173 / S/ 3217, Dodd Frank Wall Street Reform and Consumer Protection Act / Restoring American Financial Stability Act; provisions relating to derivatives, swap execution, systemic risk, clearinghouse regulation, Sarbanes-Oxley Act, Foreign Boards of Trade, extraterritorial application of securities laws, and position limits; H.R. 4191, Let Wall Street Pay for the Restoration of Main Street Act of 2009; all provisions; Issues relating to flash crash; Issues relating to market structure
Client expense: $350,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Banking
Financial regulatory reform; derivatives regulation and clearing, including foreign Boards of Trade; Short sale regulation; S. 1074, Shareholder Bill of Rights Act; all provisions H.R. 2861, Shareholder Empowerment Act of 2009; all provisions H.R. 2454, American Clean Energy and Security Act, derivatives title; H.R. 3126, The Consumer Financial Protection Agency Act of 2009; provisions applicable to SEC and CFTC-regulated entities; H.R. 3795, The Over-the Counter Derivatives Markets Act of 2009; trading and clearing provisions; H.R. 977, The Derivatives Markets Transparency and Accountability Act of 2009; trading and clearing provisions; H.R. 4173 / S. 3217, Dodd-Frank Wall Street Reform and Consumer Protection Act / Restoring American Financial Stability Act; provisions relating to derivatives, swap execution, systemic risk, clearinghouse regulation, Sarbanes-Oxley Act, Foreign Boards of Trade, extraterritorial application of securites laws, and position limits; H.R. 4191, Let Wall Street Pay for the Restoration of Main Street Act of 2009; all provisions; S. 2927, Wall Street Fair Share Act; all provisions; Capital Market/Job Creation; Market Structure;
Client expense: $350,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Labor Issues/Antitrust/Workplace
Corporate governance and executive compensation; H.R. 2861, The Shareholder Empowerment Act ; S. 1074, The Shareholder Bill of Rights; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 3217, Restoring American Financial Stability Act of 2010;
Client expense: $540,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Executive Office of the President (EOP), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of Management & Budget (OMB), Office of the Vice President of the United States, Patent & Trademark Office (PTO), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, U.S. Trade Representative (USTR)
H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 3217, Restoring American Financial Stability Act of 2010; H.R. 851, Executive Compensation and Corporate Governance Act; H.R.1586, To impose an additional tax on bonuses received from certain TARP recipients; H.R.1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008; H.R.3269, Corporate and Financial Institution Compensation Fairness Act; H.R.857, Limit Executive Compensation Abuse Act; S. 360, Cap Executive Officer Pay Act; S. 638, Financial and Economic Literacy Improvement Act; S.1006, Excessive Pay Shareholder Approval Act; S1074, Shareholder Bill of Rights Act,; S. 2832 Lifetime Income Disclosure Act
Client expense: $576,337 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Financial Institutions/Investments/Securities
S. 139 Data Breach Notification Act S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 3258 Modernizing and Strengthening Investor Protection Act of 2010 S. 3717 Strike Section 929I of Dodd-Frank Act (FOIA) S. 3742 Data Security and Breach Notification Act of 2010 H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3351 Proxy Voting Transparency Act of 2009 H.R. 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act H.R. 4790 Shareholder Protection Act of 2010 (political activity) Money Market Mutual Fund Regulation
Client expense: $1,438,483 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · third_quarter · Insurance
General Property and casualty insurance related issues and initiatives. Flood Insurance related issues and initiatives. Issues related to financial services legislation. H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009: S. 3217, Restoring American Financial Stability Act of 2010. S.1074, Shareholder Bill of Rights.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Utilities
Green jobs, battery manufacturing and related tax incentives for energy infrastructure (including bonus depreciation, efficiency, smart meters, wind, solar, and other technologies); NY/Rockaways Natural Gas Pipeline Projects; New York and New England energy infrastructure, electric and natural gas transmissions, and gas supply; NY and New England clean heat and power projects, natural gas-fueled vehicle projects, school energy efficiency projects, Long Island generation repowering, and other energy and efficiency initiatives; LIHEAP funding, including S. 3686, Depts. of Labor, Health and Human Services and Education and Related Agencies Appropriations Act of 2011, FY 2011 Budget Resolution (House Con. Res. 281 and Senate Con. Res. 60), H.R. 4554, Energy Assistance for American Families Act, and related legislation; S. 1074, Shareholder Bill of Rights of 2009, provisions related to corporate governance and shareholders interests; H.R. 1622, S. 1350, provisions related to research and development of natural gas vehicle technologies; H.R. 5696/S. 3487, Electric Consumer Right to Know Act, provisions related to electric utilities; H.R. 3081, Continuing Appropriations Act of 2011, provisions related to LIHEAP funding.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Utilities
Green jobs, battery manufacturing and related tax incentives for energy infrastructure (including bonus depreciation, efficiency, smart meters, wind, solar, and other technologies); NY/Rockaways Natural Gas Pipeline Projects; New York and New England energy infrastructure, electric and natural gas transmissions, and gas supply; NY and New England clean heat and power projects, natural gas-fueled vehicle projects, school energy efficiency projects, Long Island generation repowering, and other energy and efficiency initiatives; LIHEAP funding, including S. 3686, Depts. of Labor, Health and Human Services and Education and Related Agencies Appropriations Act of 2011, FY 2011 Budget Resolution (House Con. Res. 281 and Senate Con. Res. 60), H.R. 4554, Energy Assistance for American Families Act, and related legislation; S. 1074, Shareholder Bill of Rights of 2009, provisions related to corporate governance and shareholders interests; H.R. 1622, S. 1350, provisions related to research and development of natural gas vehicle technologies; H.R. 5696/S. 3487, Electric Consumer Right to Know Act, provisions related to electric utilities; S. 3856, Pipeline Transportation Safety Improvement Act of 2010; S. 3824, Pipeline Transportation Safety Improvement Act of 2010, H.R. 6295, Pipeline Safety and Community Empowerment Act of 2010; H.R. 3081, Continuing Appropriations Act of 2011, provisions related to LIHEAP funding.
Client expense: $600,000 · Firm income: Not reported
Government targets: Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Financial Institutions/Investments/Securities
Issues relating to executive compensation, shareholder votes and proxy access. S. 1074, The Shareholder Bill of Rights Act of 2009; H.R. 2861, The Shareholder Empowerment Act of 2009. Legislation and regulation pertaining to derivatives. S. 1691, The Comprehensive Derivatives Regulation Act of 2009; H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203). H.R. 3817, the Investor Protection Act of 2009, including the Waters/Peters amendment granting authority to the SEC to issue rules on proxy access.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
Issues relating to executive compensation, shareholder votes and proxy access. S. 1074, The Shareholder Bill of Rights Act of 2009; Legislation and regulation pertaining to derivatives. S. 1691, The Comprehensive Derivatives Regulation Act of 2009; H.R. 3795, H.R. 3269, Corporate and Financial Institution Compensation Fairness Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203). H.R. 3817, the Investor Protection Act of 2009, including the Waters/Peters amendment granting authority to the SEC to issue rules on proxy access.
Client expense: Not reported · Firm income: $50,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
Proxy Access issues. Issues relating to executive compensation and shareholder votes. S. 1074, Shareholder Bill of Rights Act of 2009. H.R. 2861, Shareholder Empowerment Act of 2009. Corporate governance in general. H.R. 3817, the Investor Protection Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203); Title IX.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
2010 · third_quarter · Financial Institutions/Investments/Securities
Proxy access issues. Issues relating to executive compensation and shareholder votes. S. 1074, Shareholder Bill of Rights Act of 2009. H.R. 2861, Shareholder Empowerment Act of 2009. Corporate governance in general. H.R. 3817, the Investor Protection Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203); Title IX.
Client expense: Not reported · Firm income: $90,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)