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Comprehensive Derivatives Regulation Act of 2009
Legislative Progress
Momentum (last 30 days)
0
score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
0pct
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 · first_quarter · Agriculture
Cocoa sustainability; agricultural development and food security needs in West Africa; public and private partnerships in developing countries; H.R. 2749, Food Safety Enhancement Act of 2009 and S. 510, FDA Food Safety Modernization Act, provisions relating to food processing safety and safety of imported foods S. 1631, Customs Facilitation and Trade Enforcement Reauthorization Act of 2009, provisions relating to import safety H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009; H.R. 977, Derivatives and Accountability Act; S. 1691, Comprehensive Derivatives Regulation Act of 2009, provisions relating to regulation of commodity markets Listing of cocoa on Trafficking Victims Protection Reauthorization Act and Executive Order 13126 lists Department of Agriculture appropriations for FY 2011; budget for research on peanuts, rice and cocoa U.S. Sugar Program
Client expense: $580,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commodity Futures Trading Commission (CFTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, U.S. Trade Representative (USTR), White House Office
2010 · first_quarter · Commodities (big ticket)
H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009; H.R. 977, Derivatives Markets Transportation and Accountability Act; Restoring American Financial Stability Act; S. 1691, Comprehensive Derivatives Regulation of 2009, provisions relating to regulation of commodities markets
Client expense: $580,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), Commodity Futures Trading Commission (CFTC), Food & Drug Administration (FDA), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, U.S. Trade Representative (USTR), White House Office
2010 · second_quarter · Banking
HR2382, S1212 - legislation to regulate interchange fees associated with credit and debit cards. HR3126, HR4173 Financial regulatory restructuring HR977 and S1691 - Derivatives markets transparency and accountability act. HR2897 Bank Accounting and Risk Assessment Act. HR3904/S1799 - overdraft programs. HR4173 financial regulatory reform. S3217 financial regulatory reform.
Client expense: $1,060,000 · Firm income: Not reported
Government targets: Agriculture, Dept of (USDA), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · first_quarter · Banking
H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 Senate Banking Committees Print of the Restoring American Financial Stability Act of 2009 (bill number not yet assigned) S. 1691, the Comprehensive Derivatives Regulation Act of 2009 Nomination of Ben Bernanke, Chairman of the Federal Reserve RIN 3064 AD 56, Advance Notice of Proposed Rulemaking (FDIC) H.R. 2521, National Infrastructure Development Bank Act of 2009 Various proposals relating to the creation of a National Infrastructure Bank (no specific legislation introduced)
Client expense: $25,120,000 · Firm income: Not reported
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
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
Client expense: $25,120,000 · 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
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 · Financial Institutions/Investments/Securities
HR 2382: Credit Card Interchange Fees Act of 2009 HR 4173/S 3217: Wall Street Reform and Consumer Protection Act of 2009; Currency Hedges, Interchange Fees, SEC Disclosures Related to Mineral Sourcing S 1691: Comprehensive Derivatives Regulation Act of 2009
Client expense: $380,000 · Firm income: Not reported
Government targets: Education, Dept of, Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, SENATE, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Commodities (big ticket)
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009); S. 272 (Derivatives Trading Integrity Act of 2009) (derivatives regulation); Regulation of OTC derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); H.R. 2454 (American Clean Energy and Security Act of 2009)(sections 342 and 351 through 360 - derivatives regulation); H.R. 3300 (Derivative Trading Accountability and Disclosure Act); H.R 3763 (Over-the-Counter Derivatives Markets Act); H.R. 3795 (Over-the-Counter Derivatives Markets Act of 2009); H.R. 4173 (Dodd-Frank Wall Street Reform and Consumer Protection Act)(Derivatives regulatory rulemaking); H.R. 4884 (United States Covered Bond Act of 2010); S. 1412 (Commodity Speculation Reform Act of 2009); S. 1691 (Comprehensive Derivatives Regulation Act of 2009); S. 2120 (Sen. Collin's Derivatives Reform bill); S. 3217 (Wall Street Transparency & Accountability Act of 2010)(Derivatives Issues); Restoring American Financial Stability Act of 2010 (Title VII (Over-the-Counter Derivatives Reform)); Derivatives business conduct standards; Regulatory rulemaking to implement the Dodd-Frank Act: Business conduct rules, swap dealer capital requirements and margin segregation.
Client expense: $1,280,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · fourth_quarter · Commodities (big ticket)
H.R. 977, "Derivatives Markets Transparency and Accountability Act of 2009" S. 477, "Prevent Excessive Speculation Act" H.R. 1666, "Safe Markets Development Act of 2009" S. 3217, Restoring American Financial Stability Act of 2010" S. 961, "The Authorizing the Regulation of Swaps Act" S. 1225, "Energy Market Manipulation Prevention Act" H.R. 2869, "Energy Market Manipulation Prevention Act" S. 664, "Financial System Stabilization and Reform Act of 2009" H.R. 1754, "Financial System Stabilization and Reform Act of 2009" S. 272, "Derivatives Trading Integrity Act of 2009" H.R. 2448, "Prevent Unfair Manipulation of Prices Act of 2009" S. 1399, "Carbon Market Oversight Act of 2009" H.R. 3300, "Derivatives Trading Accountability and Disclosure Act of 2009" S. 1682, "Derivatives Market Manipulation Prevention Act of 2009" S. 1691, "Comprehensive Derivatives Regulation Act of 2009" HR 3795, "Over-the-Counter Derivatives Act of 2009" U.S. Treasury Department's "Over-the-Counter Derivatives Markets Act of 2009" H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009" Sen. Chris Dodd's discussion draft of the "Restoring American Financial Stability Act of 2009" HR 3153, "Transparent Markets Act of 2009" HR 1068, "Let Wall Street Pay for Wall Street's Bailout Act of 2009" HR 3996, "Financial Stability Improvement Act" "Energy Market Transparency Act of 2009" discussion draft Wall Street Transparency and Accountability Act of 2010, Dodd-Lincoln Substitute Amendment to S. 3217 "Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 Conference Report"
Client expense: $150,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Financial Institutions/Investments/Securities
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Fuel/Gas/Oil
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Banking
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Energy/Nuclear
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009 H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Commodities (big ticket)
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Financial Institutions/Investments/Securities
Financial regulatory reform issues including proposals to reform credit rating agencies, regulate systemic risk, combine the Office of Thrift Supervision and the Office of the Comptroller of the Currency, subject saving and loan holding companies to Federal Reserve oversight, establish a resolution authority for non-banks, SEC and CFTC regulation and taxation of derivatives, liability issues, proprietary trading, credit scoring, creation of a Consumer Financial Protection Agency, and the creation of a Federal Insurance Office as well as implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act. S.664 / H.R.1754 Financial System Stabilization and Reform Act of 2009 S.386 Fraud Enforcement and Recovery Act of 2009 provisions regarding senior designations and a bipartisan financial crisis inquiry commission S.664 / H.R.1754 Financial System Stabilization and Reform Act H.R.627 Truth in Lending Act S.A.1077, Menendez amendment regarding credit to S.A.1058, Dodd amendment H.R.3126 Consumer Financial Protection Agency Act of 2009 clarification of business of insurance reference H.R.3817 The Investor Protection Act of 2009 harmonization of standard of care S.1691 - Comprehensive Derivatives Regulation Act of 2009 derivative end user issues H.R.3135 - Over-the-Counter Derivatives Markets Act of 2009 derivative end user issues H.R.2609 Insurance Information Act of 2009 / Federal Insurance Office Act of 2009 all provisions Restoring American Financial Stability Act of 2009 (discussion draft) all provisions H.R.3996 Financial Stability Improvement Act of 2009 all provisions The Wall Street Transparency & Accountability Act of 2010 (Proposed bill, then inserted into S.3217) S. 3217- Restoring American Financial Stability Act of 2010 all provisions H.R.4173 Dodd-Frank Wall Street Reform and Consumer Protection Act All Provisions / Implementation S.3098 - Protect Our Recovery Through Oversight of Proprietary Trading Act of 2010 (PROP Trading Act) treatment of insurers general accounts Financial Crisis Responsibility Fee (Administration Proposal) revenue provisions
Client expense: $710,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · fourth_quarter · Banking
HR 2896 - Equal Treatment of Covered Bonds Act regarding issues of treatment on covered bonds; HR. 977 - Derivatives Markets Transparency & Accountability Act; S. 272 - Derivatives Trading Integrity Act regarding Credit Default Swaps Swaps; HR 2454 American Clean Energy and Security Act; S 961 - Authorizing the Regulation of Swaps Act; S 1691 - Comprehensive Derivatives Regulation Act; Administration proposal regarding over the counter derivatives; S 3098 - PROP Trading Act regarding Volcker Rule on proprietary trading; HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act of 2009; S 3217- Restoring American Financial Stability Act regarding implementation timeframes, legislative and regulatory prohibition of credit card practices, creation of consumer protection agency, legislative reform of financial institutions; General issues on legislative initiatives on privacy; Sen Whitehouse - loss mitigation proposal regarding legislative efforts to enact restrictions on credit cards and other loans; S 3831 - Post Act of 2010 regarding BAC postal strategies; S 1490 - Personal Data and Security Act regarding data security and cyber security legislative initiatives; General issues regarding examination of debt settlement practices; General issues regarding mortgage servicing issues.
Client expense: $1,140,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · fourth_quarter · Financial Institutions/Investments/Securities
HR 977, HR 1754, HR 2111, HR 2253, HR 3126, HR 3269, HR 3300, HR 3310, HR 3765, HR 3996, HR 4142, HR 4173, HR 4191, HR 4516, HR 498, HR 6223, HR 6334, HR 74, HR 885, S 1354, S 1691, S 2746, S 2756, S 2813, S 298, S 3149, S 344, S 3826, S 567, S 605, S 664
Client expense: $810,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · fourth_quarter · Agriculture
H.R. 977: Derivatives Markets Transparency and Accountability Act of 2009 S. 272: Derivatives Trading Integrity Act of 2009 S. 323: Rural Revitalization Act of 2009 S. 447: Prevent Excessive Speculation Act S. 22: Omnibus Public Land Management Act of 2009 H.R. 4173: Wall Street Reform and Consumer Protection Act of 2009 H.R. 3795: Over-the-Counter Derivatives Markets Act of 2009 S. 1399: Carbon Market Oversight Act of 2009 S. 1412: Commodity Speculation Reform Act of 2009 S. 1682: Derivatives Market Manipulation Prevention Act of 2009 S. 1691: Comprehensive Derivatives Regulation Act of 2009 S. 3217: A original bill 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, and for other purposes. S. 3102: Rural Energy Savings Program Act H.R. 4785: Rural Energy Savings Program Act S. 3606: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2011 H.R. 2997: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2010
Client expense: $809,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · fourth_quarter · Financial Institutions/Investments/Securities
Issues relating to the implementation of PL No. 110-343 Emergency Economic Stabilization Act of 2008, all provisions. Issues relating to the implementation of PL No. 111-5 "American Recovery and Reinvestment Act of 2009," all provisions. Issues relating to financial industry regulatory restructuring. HR 3996 "Financial Stability Improvement Act of 2009," all provisions relating to energy derivatives. HR 3795 "Over-the-Counter Derivatives Markets Act of 2009," all provisions relating to energy derivatives. S 272 "Derivatives Trading Integrity Act of 2009," all provisions relating to energy derivatives. HR 977 "Derivatives Markets Transparency and Accountability Act of 2009," all provisions relating to energy derivatives. S 1691 Comprehensive Derivatives Regulation Act of 2009" all provisions. HR 3126 "Consumer Financial Protection Agency Act of 2009," all provisions. "Restoring American Financial Stability Act of 2010," as reported by the Senate Banking Committee (to become S 3217), all provisions pertaining to the following titles: Title IIOrderly Liquidation Authority, Title VIImprovements to Regulation of Bank and Savings Association Holding Companies and Depository Institutions, Title VIIImprovements to Regulation of Over-the-Counter Derivatives Markets, Title VIIIPayment, Clearing, and Settlement Supervision, Title XBureau of Consumer Financial Protection. S 3217 / HR 4173 "Restoring American Financial Stability Act of 2010," all provisions relating to energy derivatives. HR 5136 National Defense Authorization Act for Fiscal Year 2011, provisions relating to Amendment No. 80 to strike funding for the Joint Strike Fighter's Alternate Engine Program. PL 111-203 Dodd-Frank Wall Street Reform and Consumer Protection Act, regarding implementation of the provisions relating to end users of derivatives.
Client expense: Not reported · Firm income: $50,000
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Financial Institutions/Investments/Securities
HR 2382: Credit Card Interchange Fees Act of 2009 HR 4173/S 3217: Wall Street Reform and Consumer Protection Act of 2009; Currency Hedges, Interchange Fees, SEC Disclosures Related to Mineral Sourcing S 1691: Comprehensive Derivatives Regulation Act of 2009
Client expense: $340,000 · Firm income: Not reported
Government targets: Education, Dept of, Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, SENATE, U.S. Trade Representative (USTR)
2010 · third_quarter · Commodities (big ticket)
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009); S. 272 (Derivatives Trading Integrity Act of 2009) (derivatives regulation); Regulation of OTC derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements); H.R. 2454 (American Clean Energy and Security Act of 2009)(sections 342 and 351 through 360 - derivatives regulation); H.R. 3300 (Derivative Trading Accountability and Disclosure Act); H.R 3763 (Over-the-Counter Derivatives Markets Act); H.R. 3795 (Over-the-Counter Derivatives Markets Act of 2009); H.R. 4173 (Dodd-Frank Wall Street Reform and Consumer Protection Act)(Derivatives issues); H.R. 4884 (United States Covered Bond Act of 2010); S. 1412 (Commodity Speculation Reform Act of 2009); S. 1691 (Comprehensive Derivatives Regulation Act of 2009); S. 2120 (Sen. Collin's Derivatives Reform bill); S. 3217 (Wall Street Transparency & Accountability Act of 2010)(Derivatives Issues); Restoring American Financial Stability Act of 2010 (Title VII (Over-the-Counter Derivatives Reform)); Derivatives business conduct standards; Regulatory rulemaking to implement the Dodd-Frank Act: Business conduct rules, swap dealer capital requirements and margin segregation.
Client expense: $1,270,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)
2010 · third_quarter · Commodities (big ticket)
H.R. 977, "Derivatives Markets Transparency and Accountability Act of 2009" S. 477, "Prevent Excessive Speculation Act" H.R. 1666, "Safe Markets Development Act of 2009" S. 3217, Restoring American Financial Stability Act of 2010" S. 961, "The Authorizing the Regulation of Swaps Act" S. 1225, "Energy Market Manipulation Prevention Act" H.R. 2869, "Energy Market Manipulation Prevention Act" S. 664, "Financial System Stabilization and Reform Act of 2009" H.R. 1754, "Financial System Stabilization and Reform Act of 2009" S. 272, "Derivatives Trading Integrity Act of 2009" H.R. 2448, "Prevent Unfair Manipulation of Prices Act of 2009" S. 1399, "Carbon Market Oversight Act of 2009" H.R. 3300, "Derivatives Trading Accountability and Disclosure Act of 2009" S. 1682, "Derivatives Market Manipulation Prevention Act of 2009" S. 1691, "Comprehensive Derivatives Regulation Act of 2009" HR 3795, "Over-the-Counter Derivatives Act of 2009" U.S. Treasury Department's "Over-the-Counter Derivatives Markets Act of 2009" H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009" Sen. Chris Dodd's discussion draft of the "Restoring American Financial Stability Act of 2009" HR 3153, "Transparent Markets Act of 2009" HR 1068, "Let Wall Street Pay for Wall Street's Bailout Act of 2009" HR 3996, "Financial Stability Improvement Act" "Energy Market Transparency Act of 2009" discussion draft Wall Street Transparency and Accountability Act of 2010, Dodd-Lincoln Substitute Amendment to S. 3217 "Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 Conference Report"
Client expense: $180,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Energy Regulatory Commission (FERC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
HR 2896 - Equal Treatment of Covered Bonds Act regarding issues of treatment on covered bonds; HR. 977 - Derivatives Markets Transparency & Accountability Act; S. 272 - Derivatives Trading Integrity Act regarding Credit Default Swaps; HR 2454 American Clean Energy and Security Act; S 961 - Authorizing the Regulation of Swaps Act; S 1691 - Comprehensive Derivatives Regulation Act; Administration proposal regarding over the counter derivatives; S 3098 - PROP Trading Acting regarding Volcker Rule on proprietary trading; Proposed Schumer Bill regarding issues of examination of debt settlement practices; S773 CyberSecurity Act of 2009; S3454 National Defense Authorization Act for Fiscal Year 2011; S 3742 Data Security and Breach Notification Act; S1490 Personal Data Privacy and Security Act of 2009 regarding data security and cyber security legislative initiatives; HR 5777 - To foster transparency about the commercial use of personal information; HR 2221 Data Accountability and Trust Act regarding legislative initiatives on privacy; HR 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act of 2009; S 3217 Restoring American Financial Stability Act regarding creation of a consumer protection agency for financial products, general issues regarding interchange, risk retention, derivatives, and IA/BD Fiduciary duty; S.3677 - Financial Services and General Government Appropriations Act 2011, Durbin Amendment regarding market interchange rate.
Client expense: $690,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
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 · Financial Institutions/Investments/Securities
Financial regulatory reform issues including proposals to reform credit rating agencies, regulate systemic risk, combine the Office of Thrift Supervision and the Office of the Comptroller of the Currency, subject saving and loan holding companies to Federal Reserve oversight, establish a resolution authority for non-banks, SEC and CFTC regulation and taxation of derivatives, (continued next page) liability issues, proprietary trading, credit scoring, creation of a Consumer Financial Protection Agency, and the creation of a Federal Insurance Office. S.664 / H.R.1754 Financial System Stabilization and Reform Act of 2009 - all provisions S.386 Fraud Enforcement and Recovery Act of 2009 provisions regarding senior designations and a bipartisan financial crisis inquiry commission S.664 / H.R.1754 Financial System Stabilization and Reform Act - all provisions H.R.627 Truth in Lending Act S.A.1077, Menendez amendment regarding credit to S.A.1058, Dodd amendment H.R.3126 Consumer Financial Protection Agency Act of 2009 clarification of business of insurance H.R.3817 The Investor Protection Act of 2009 harmonization of standard of care S.1691 - Comprehensive Derivatives Regulation Act of 2009 derivative end user issues H.R.3135 - Over-the-Counter Derivatives Markets Act of 2009 derivative end user issues H.R.2609 Insurance Information Act of 2009 / Federal Insurance Office Act of 2009 all provisions Restoring American Financial Stability Act of 2009 (discussion draft) all provisions H.R.3996 Financial Stability Improvement Act of 2009 all provisions The Wall Street Transparency & Accountability Act of 2010 (Proposed bill, then inserted into S.3217) S. 3217- Restoring American Financial Stability Act of 2010 all provisions H.R.4173 Dodd-Frank Wall Street Reform and Consumer Protection Act All Provisions / Implementation S.3098 - Protect Our Recovery Through Oversight of Proprietary Trading Act of 2010 (PROP Trading Act) treatment of insurers general accounts Financial Crisis Responsibility Fee (Administration Proposal) revenue provisions
Client expense: $440,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Commodities (big ticket)
General background on legislation and regulation pertaining to derivatives. S. 1691, The Comprehensive Derivatives Regulation Act of 2009. The Wall Street Transparency & Accountability Act of 2010; Dodd-Lincoln Substitute Amendment to S. 3217.
Client expense: Not reported · Firm income: $160,000
Government targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE
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: $100,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Financial Institutions/Investments/Securities
S. 1074, The Shareholder Bill of Rights Act of 2009; H.R. 2861, The Shareholder Empowerment Act of 2009. Issues related to executive compensation and shareholder votes. H.R. 3269, The Corporate and Financial Institution Compensation Fairness Act of 2009. Legislation and regulation pertaining to derivatives. S. 1691, The Comprehensive Derivatives Regulation Act of 2009. H.R. 3795, The Over-The-Counter Derivatives Markets Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203), all provisions and amendments relating to derivatives, consumer protection and corporate governance.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · third_quarter · Banking
S. 1074, The Shareholder Bill of Rights Act of 2009; H.R. 2861, The Shareholder Empowerment Act of 2009. Issues related to executive compensation and shareholder votes. H.R. 3269, The Corporate and Financial Institution Compensation Fairness Act of 2009. Legislation and regulation pertaining to derivatives. S. 1691, The Comprehensive Derivatives Regulation Act of 2009. H.R. 3795, The Over-The-Counter Derivatives Markets Act of 2009. Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203), all provisions and amendments relating to derivatives, consumer protection and corporate governance.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of
2010 · third_quarter · Financial Institutions/Investments/Securities
HR 977, HR 1754, HR 2111, HR 2253, HR 3126, HR 3269, HR 3300, HR 3310, HR 3765, HR 3996, HR4142, HR 4173, HR 4191, HR 4516, HR 498, HR 6223, HR 6334, HR 74, HR 885, S 1354, S 1691, S 2746, S 2756, S 2813, S 298, S 3149, S 344, S 3826, S 567, S 605, S 664
Client expense: $1,170,000 · Firm income: Not reported
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Economics/Economic Development
HR 2873 - Enhanced SEC Enforcement Authority Act - Allowing SEC to serve subpoenas in civil actions on a nationwide basis. HR 2646 - Government Accountability Office Improvement Act - Requirements and additional duties for regulators that may oversee our company. S 1691 - Comprehensive Deriavatives Regulation Act - Any differences with overall reform legislation on derivatives regulation and the provisions creating different requirements for our company to participate in derivatives market. HR 3269 - Corporate and Financial Institution Compensation Fairness Act - Provides SEC ability to review, limit and prohibit compensation practices of private companies.
Client expense: $139,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Financial Institutions/Investments/Securities
Issues relating to the implementation of PL No. 110-343 Emergency Economic Stabilization Act of 2008, all provisions. Issues relating to the implementation of PL No. 111-5 "American Recovery and Reinvestment Act of 2009," all provisions. Issues relating to financial industry regulatory restructuring. HR 3996 "Financial Stability Improvement Act of 2009," all provisions relating to energy derivatives. HR 3795 "Over-the-Counter Derivatives Markets Act of 2009," all provisions relating to energy derivatives. S 272 "Derivatives Trading Integrity Act of 2009," all provisions relating to energy derivatives. HR 977 "Derivatives Markets Transparency and Accountability Act of 2009," all provisions relating to energy derivatives. S 1691 Comprehensive Derivatives Regulation Act of 2009" all provisions. HR 3126 "Consumer Financial Protection Agency Act of 2009," all provisions. "Restoring American Financial Stability Act of 2010," as reported by the Senate Banking Committee (to become S 3217), all provisions pertaining to the following titles: Title IIOrderly Liquidation Authority, Title VIImprovements to Regulation of Bank and Savings Association Holding Companies and Depository Institutions, Title VIIImprovements to Regulation of Over-the-Counter Derivatives Markets, Title VIIIPayment, Clearing, and Settlement Supervision, Title XBureau of Consumer Financial Protection. S 3217 / HR 4173 "Restoring American Financial Stability Act of 2010," all provisions relating to energy derivatives. HR 5136 National Defense Authorization Act for Fiscal Year 2011, provisions relating to Amendment No. 80 to strike funding for the Joint Strike Fighter's Alternate Engine Program. PL 111-203 Dodd-Frank Wall Street Reform and Consumer Protection Act, regarding implementation of the provisions relating to end users of derivatives.
Client expense: Not reported · Firm income: $50,000
Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
2010 · third_quarter · Financial Institutions/Investments/Securities
S. 272 Derivatives Integrity Act HR 3300 Derivatives Trading Accountability Act S. 1691 Comprehensive Derivatives Regulations Act HR 4173 Wall Street Reform and Consumer Protection Act HR 4173 Restoring American Financial Stability S. 3217 Restoring American Financial Stability
Client expense: $680,194 · Firm income: Not reported
Government targets: Energy, Dept of, Environmental Protection Agency (EPA), HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), SENATE, State, Dept of (DOS)
Target Date Funds Financial Regulatory Reform in the following bills and proposals: HR 977 - Derivatives Markets Transparency and Accountability Act of 2009 S 1074 - Shareholder Bill of Rights Act of 2009 Administration proposal - "Financial Regulatory Reform: A New Foundation" HR 3126 - Consumer Financial Protection Act of 2009 HR 2609 - Office of Insurance Information Treasury proposal - Office of National Insurance (Title V) Treasury proposal - Improvements of Regulation of Over-the-Counter Derivatives Markets (Title VII) S 1691 - Comprehensive Derivatives Regulation Act of 2009 HR 2861 - Shareholder Empowerment Act HR 4173 - Wall Street Reform and Consumer Protection Act HR 1728 - Mortgage Reform and Anti-Predatory Lending Act Restoring American Financial Stability Act HR 3817 - Investor Protection Act Proxy Access Proposed SEC Rule S 3217 - Restoring American Financial Stability Act of 2010 "Volcker Rule" Conference Report H. Rept. 111-517 Dodd-Frank Wall Street Reform and Consumer Protection Act Covered Bonds in the following bill: HR 5823 - United States Covered Bonds Act
Client expense: $400,000 · Firm income: Not reported
Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2010 · third_quarter · Energy/Nuclear
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009 H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Banking
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Financial Institutions/Investments/Securities
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Fuel/Gas/Oil
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Commodities (big ticket)
Financial services overhaul, Energy trading and Regulation of OTC derivatives: HR 977, The Derivatives Markets Transparency and Accountability Act of 2009; S. 1691, Comprehensive Derivatives Regulation Act of 2009; HR 3795, Over-the-Counter Derivatives Markets Act of 2009 and S. 272 Derivatives Trading Integrity Act of 2009. H.R. 4173/S.3217, Restoring American Financial Stability Act of 2010
Client expense: Not reported · Firm income: $50,000
Government targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE
2010 · third_quarter · Agriculture
H.R. 977: Derivatives Markets Transparency and Accountability Act of 2009 S. 272: Derivatives Trading Integrity Act of 2009 S. 323: Rural Revitalization Act of 2009 S. 447: Prevent Excessive Speculation Act S. 22: Omnibus Public Land Management Act of 2009 H.R. 4173: Wall Street Reform and Consumer Protection Act of 2009 H.R. 977: Derivatives Markets Transparency and Accountability Act of 2009 H.R. 3795: Over-the-Counter Derivatives Markets Act of 2009 S. 272: Derivatives Trading Integrity Act of 2009 S. 447: Prevent Excessive Speculation Act S. 1399: Carbon Market Oversight Act of 2009 S. 1412: Commodity Speculation Reform Act of 2009 S. 1682: Derivatives Market Manipulation Prevention Act of 2009 S. 1691: Comprehensive Derivatives Regulation Act of 2009 S. 3217: A original bill 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, and for other purposes. S. 3102: Rural Energy Savings Program Act H.R. 4785: Rural Energy Savings Program Act S. 3606: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2011 H.R. 2997: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2010
Client expense: $947,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2010 · second_quarter · Agriculture
H.R. 977: Derivatives Markets Transparency and Accountability Act of 2009 S. 272: Derivatives Trading Integrity Act of 2009 S. 323: Rural Revitalization Act of 2009 S. 447: Prevent Excessive Speculation Act S. 22: Omnibus Public Land Management Act of 2009 H.R. 4173: Wall Street Reform and Consumer Protection Act of 2009 H.R. 977: Derivatives Markets Transparency and Accountability Act of 2009 H.R. 3795: Over-the-Counter Derivatives Markets Act of 2009 S. 272: Derivatives Trading Integrity Act of 2009 S. 447: Prevent Excessive Speculation Act S. 1399: Carbon Market Oversight Act of 2009 S. 1412: Commodity Speculation Reform Act of 2009 S. 1682: Derivatives Market Manipulation Prevention Act of 2009 S. 1691: Comprehensive Derivatives Regulation Act of 2009 S. 3217: A original bill 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, and for other purposes. S. 3102: Rural Energy Savings Program Act H.R. 4785: Rural Energy Savings Program Act S. 3606: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2011 H.R. 2997: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2010
Client expense: $1,068,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
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
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
2010 · first_quarter · Banking
H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 Senate Banking Committees Print of the Restoring American Financial Stability Act of 2009 (bill number not yet assigned) S. 1691, the Comprehensive Derivatives Regulation Act of 2009 Nomination of Ben Bernanke, Chairman of the Federal Reserve RIN 3064 AD 56, Advance Notice of Proposed Rulemaking (FDIC) H.R. 2521, National Infrastructure Development Bank Act of 2009 Various proposals relating to the creation of a National Infrastructure Bank (no specific legislation introduced)
Client expense: $25,120,000 · 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
2010 · first_quarter · Banking
H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 Senate Banking Committees Print of the Restoring American Financial Stability Act of 2009 (bill number not yet assigned) S. 1691, the Comprehensive Derivatives Regulation Act of 2009 Nomination of Ben Bernanke, Chairman of the Federal Reserve RIN 3064 AD 56, Advance Notice of Proposed Rulemaking (FDIC) H.R. 2521, National Infrastructure Development Bank Act of 2009 Various proposals relating to the creation of a National Infrastructure Bank (no specific legislation introduced)
Client expense: $25,120,000 · 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
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
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
2010 · second_quarter · Financial Institutions/Investments/Securities
H.R.2382 - Credit Card Interchange Fees Act of 2009 - All provisions H.R.2695 - Credit Card Fair Fee Act of 2009 - All provisions H.R.2454 - American Clean Energy and Security Act of 2009 - Provisions related to the Commodity Exchange Act and derivatives trading only H.R.4173 - Wall Street Reform and Consumer Protection Act - All provisions H.R.977 - Derivatives Markets Transparency and Accountability Act of 2009 - All provisions S.272 - Derivatives Trading Integrity Act of 2009 - All provisions S.1691 - Comprehensive Derivatives Regulation Act of 2009 - All provisions S.3217 - The Restoring American Financial Stability Act of 2010 - All provisions Met with House and Senate on issues related to credit derivatives and credit default swaps
Client expense: $1,470,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Council of Economic Advisers (CEA), Executive Office of the President (EOP), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Natl Economic Council (NEC), Office of Thrift Supervision (OTS), SENATE, Treasury, Dept of, White House Office
2010 · second_quarter · Financial Institutions/Investments/Securities
HR 2382: Credit Card Interchange Fees Act of 2009 HR 4173/S 3217: Wall Street Reform and Consumer Protection Act of 2009; Currency Hedges, Interchange Fees, SEC Disclosures Related to Mineral Sourcing S 1691: Comprehensive Derivatives Regulation Act of 2009
Client expense: $330,000 · Firm income: Not reported
Government targets: Education, Dept of, Environmental Protection Agency (EPA), Federal Communications Commission (FCC), HOUSE OF REPRESENTATIVES, SENATE, U.S. Trade Representative (USTR)