Investors Rights and Corporate Accountability Act of 2009

S. 1504 - Notice Pleading Restoration Act of 2009; S. 1551 - Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 4115 - Open Access to Courts Act of 2009; S. 2813 - Investors Rights and Corporate Accountability Act of 2009; H.R. 5042 - Liability for Aiding and Abetting Securities Violations Act of 2010; S. 3258 - Modernizing and Strengthening Investor Protection Act of 2010

Client expense: $500,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), U.S. Immigration & Customs Enforcement (ICE)

Issues relating to securities markets, investor protection and regulatory reform: H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009; S. 3217, Restoring American Financial Stability Act of 2010; S. 2813, Investors Rights and Corporate Accountability Act of 2009

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

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

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

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 1. 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 H.R. 4173, 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 H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

Client expense: Not reported · Firm income: $280,000

S. 3663, Clean Energy Jobs and Oil Company Accountability Act, issues pertaining to a Renewable Electricity Standard; S. 2813, Renewable Energy Promotion Act.

Client expense: Not reported · Firm income: $130,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

HR 4173 Wall Street Reform and Consumer Protection Act of 2009; Issue: all aspects impacting insurance regulation S. 3217 Restoring American Financial Stability Act of 2010; Issue: all aspects impacting insurance regulation HR 2554 National Association of Registered Agent and Brokers Reform Act; Issue:reducing costs and administrative difficulties associated with reciprocal licensing of multi-state insurance agents. We support this bill. HR 2609 Create a federal Office of Insurance Information; Issue: need for federal insurance expertise; scope of office HR 2571 and S 1363 Non-Admitted and Reinsurance Reform; Issue: need for reform for these insurance lines HR 2733/S 1389 - Fixed Indexed Annuities and Insurance Products Classification Act; Issue: clarify that certain annuity products are exempt from federal regulation Other Financial Services Regulatory Reform bills, including: HR 1880 - The National Insurance Consumer Protection Act; HR 3996 Financial Stability Improvement Act; S 2756 Financial Services Systemic Risk Oversight Council Act; HR 3310 Consumer Protection and Regulatory Enhancement Act; HR 2253/S 298 Financial Markets Commission Act, S 664 and HR 1754 The Financial System Stabilization and Reform Act of 2009; HR 4191 Let Wall Street Pay for the Restoration of Main Street, HR 885/S 1354 Improved Financial and Commodity Markets Oversight and Accountability Act, S 1540 Resolution Reform Act, S 2813 Investor Rights and Corporate Accountability Act, HR 3269 Corporate and Financial Institution Compensation Fairness Act, HR 4142/S 2746 Too Big to Fail, Too Big to Exist Act, HR 4516 Financial Services Industry Stability Act of 2010; and HR 2111 Congressional Commission on Financial Accoutability and Preparedness Act; Issues on all above regulatory reform bills: all aspects of financial services regulatory reform affecting the insurance industry, including scope of Federal Insurance Office, consumer protection, systemic risk regulation, resolution authority, and funding mechanisms. S 3546 Cheaper Car Insurance Act of 2010; Issue: federal efforts to crack down on insurance fraud S 3685 Insurance Competition and Transparency Act of 2010; Issue: Oppose greater FTC involvement in insurance regulation

Help ensure rationality, fairness and more certainty in legal system (including S. 386/H.R. 1793/S. 378, FERA; H.R. 1020/S. 931, Patient-Focused Critical Care Enhancement Act; H.R. 1728, Mortgage Reform and Anti-Predatory Lending Act; H.R. 991, Consumer Fairness Act of 2009; H.R. 1237/S. 512, Fairness in Nursing Home Arbitration Act of 2009; H.R. 1214, Payday Loan Reform Act; S. 263/H.R. 1474, Servicemembers Access to Justice Act of 2009; S. 1551, Liability for Aiding and Abetting Securities Violations Act of 2009; S. 2813, Investors Rights and Corporate Accountability Act of 2009; H.R. 3326, Department of Defense Appropriations Act, 2010; S.1504, Notice Pleading Restoration Act of 2009; Restoring American Financial Stability Act of 2010 (H.R. 4173); Legislation to limit the tax deductibility of punitive damages; S. Amdt. 4344 to H.R. 4213 - To amend the Internal Revenue Code of 1986 to extend the time for closing on a principal residence eligible for the first-time homebuyer credit; H.R.4115, Open Access to Courts Act of 2009; H.R. 5381/S.3302, Motor Vehicle Safety Act of 2010).

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

S. 1504 - Notice Pleading Restoration Act of 2009; S. 1551 - Liability for Aiding and Abetting Securities Violations Act of 2009; H.R. 4115 - Open Access to Courts Act of 2009; S. 2813 - Investors Rights and Corporate Accountability Act of 2009; H.R. 5042 - Liability for Aiding and Abetting Securities Violations Act of 2010; S. 3258 - Modernizing and Strengthening Investor Protection Act of 2010

Client expense: $1,080,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Interior, Dept of (DOI), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), U.S. Immigration & Customs Enforcement (ICE)

Issues relating to securities markets, investor protection and regulatory reform: H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009; S. 3217, Restoring American Financial Stability Act of 2010; S. 2813, Investors Rights and Corporate Accountability Act of 2009

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

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

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 1. 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 S. 1006, Excessive Pay Shareholder Approval Act, to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company. 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 H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009, all provisions regarding executive compensation and corporate governance. Committee approved draft of the Restoring Financial Stability Act of 2009, all provisions related to executive compensation and corporate governance. 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 H.R. 4173, 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 SEC regarding its regulations requiring disclosure of risk in incentives for nonexecutives, rewriting certain proxy disclosure rules relating to executive compensation

HR 977, HR 1754, HR 2111, HR 2253, HR 3126, HR 3269, HR 3300, HR 3310, HR 3996, HR 4142, HR 4173, HR 4149, HR 4516, HR 498, HR 74, HR 885, S 1354, S 1691, S 2746, S 2756, S 2813, S 298, S 3149, S 344, S 567, S 605, S 664, S 3127

Client expense: $1,490,000 · Firm income: Not reported

Government targets: Federal Emergency Management Agency (FEMA), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

Help ensure rationality, fairness and more certainty in legal system (including S. 386/H.R. 1793/S. 378, FERA; H.R. 1020/S. 931, Patient-Focused Critical Care Enhancement Act; H.R. 1728, Mortgage Reform and Anti-Predatory Lending Act; H.R. 991, Consumer Fairness Act of 2009; H.R. 1237/S. 512, Fairness in Nursing Home Arbitration Act of 2009; H.R. 1214, Payday Loan Reform Act; S. 263/H.R. 1474, Servicemembers Access to Justice Act of 2009; S. 1551, Liability for Aiding and Abetting Securities Violations Act of 2009; S. 2813, Investors Rights and Corporate Accountability Act of 2009; H.R. 3326, Department of Defense Appropriations Act, 2010; S.1504, Notice Pleading Restoration Act of 2009; Restoring American Financial Stability Act of 2010 (H.R. 4173); Legislation to limit the tax deductibility of punitive damages; S. Amdt. 4344 to H.R. 4213 - To amend the Internal Revenue Code of 1986 to extend the time for closing on a principal residence eligible for the first-time homebuyer credit.

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

HR 4173 Wall Street Reform and Consumer Protection Act of 2009; Issue: all aspects impacting insurance regulation S. 3217 Restoring American Financial Stability Act of 2010; Issue: all aspects impacting insurance regulation HR 2554 National Association of Registered Agent and Brokers Reform Act; Issue:reducing costs and administrative difficulties associated with reciprocal licensing of multi-state insurance agents. We support this bill. HR 2609 Create a federal Office of Insurance Information; Issue: need for federal insurance expertise; scope of office HR 2571 and S 1363 Non-Admitted and Reinsurance Reform; Issue: need for reform for these insurance lines HR 2733/S 1389 - Fixed Indexed Annuities and Insurance Products Classification Act; Issue: clarify that certain annuity products are exempt from federal regulation HR 3817 Investor Protection Act - all aspects pertaining to the sale of financial products and the licensing of agents Other Financial Services Regulatory Reform bills, including: HR 1880 - The National Insurance Consumer Protection Act; HR 3396 Financial Stability Improvement Act; S 2756 Financial Services Systemic Risk Oversight Council Act; HR 3310 Consumer Protection and Regulatory Enhancement Act; HR 2253/S 298 Financial Markets Commission Act, S 664 and HR 1754 The Financial System Stabilization and Reform Act of 2009; HR 4191 Let Wall Street Pay for the Restoration of Main Street, HR 885/S 1354 Improved Financial and Commodity Markets Oversight and Accountability Act, S 1540 Resolution Reform Act, S 2813 Investor Rights and Corporate Accountability Act, HR 3269 Corporate and Financial Institution Compensation Fairness Act, HR 4142/S 2746 Too Big to Fail, Too Big to Exist Act, and HR 2111 Congressional Commission on Financial Accoutability and Preparedness Act; Issues on all above bills: all aspects of financial services regulatory reform affecting the insurance industry, including scope of Federal Insurance Office, consumer protection, systemic risk regulation, resolution authority, and funding mechanisms.

Issues relating to securities markets, investor protection and regulatory reform. H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009 S. 3217, Restoring American Financial Stability Act of 2010 S. 2813, Investors Rights and Corporate Accountability Act of 2009

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

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

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 1. 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 S. 1006/Excessive Pay Shareholder Approval Act, to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company. 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 H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009, all provisions regarding executive compensation and corporate governance. Discussion Draft of the Restoring Financial Stability Act of 2009, all provisions related to executive compensation and corporate governance. S. 2813/Investors Rights and Corporate Accountability Act, all provisions relating to executive compensation and corporate governance. Comments on proposed Treasury re: Proposed Guidance on Sound Incentive Compensation Policies. Comments on proposed SEC regulations to require proxy disclosure of employee compensation plans that pose a material risk to the company, expand disclosure of director qualifications, and expedite the reporting of proxy votes Comments on proposed Federal Reserve Guidance on Executive Compensation S. 3049, Corporate Executive Accountability Act, all provisions related to executive compensation and corporate governance.

HR 74, HR 498, HR 885, HR 977, HR 1754, HR 2111, HR 2253, HR 3126, HR 3269, HR 3300, HR 3310, HR 3996, HR 4142, HR 4173, HR 4191, HR 4516, S 298, S 344, S 605, S 664, S 1354, S 1691, S 2746, S 2756, S 2813

Client expense: $750,000 · Firm income: Not reported

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

HR 1880 - The National Insurance Consumer Protection Act; Issue: concerns about federal regulation of insurance S 664 and HR 1754 The Financial System Stabilization and Reform Act of 2009; Issue: continued role for state regulators HR 2554 National Association of Registered Agent and Brokers Reform Act; Issue:reducing costs and administrative difficulties associated with reciprocal licensing of multi-state insurance agents. We support this bill. HR 3396 Financial Stability Improvement Act; S 2756 Financial Services Systemic Risk Oversight Council Act; Issues: how to define systemic risk?, what size and type of company should be regulated by the Council? S. 3217 Restoring American Financial Stability Act of 2010 (Sen. Dodd) Issue: concerns over creation of a pre-event resolution fund; scope of new Office of National Insurance HR 2609 Create a federal Office of Insurance Information; Issue: need for federal insurance expertise HR 2571 and S 1363 Non-Admitted and Reinsurance Reform; Issue: need for reform for these insurance lines Financial Services Regulatory Reform bills, including HR 4173 Wall Street Reform and Consumer Protection Act of 2009, HR 3310 Consumer Protection and Regulatory Enhancement Act; HR 2253/S 298 Financial Markets Commission Act, HR 4191 Let Wall Street Pay for the Restoration of Main Street, HR 885/S 1354 Improved Financial and Commodity Markets Oversight and Accountability Act, HR 977 Derivatives Market Transparency and Accountability Act, HR 3300 Derivative Trading Accountability and Disclosure Act, S 1540 Resolution Reform Act, S 1691 Comprehensive Derivatives Regulation Act, S 2813 Investor Rights and Corporate Accountability Act HR 3269 Corporate and Financial Institution Compensation Fairness Act, HR 4142/S 2746 Too Big to Fail, Too Big to Exist Act, and HR 2111 Congressional Commission on Financial Accoutability and Preparedness Act; Issue: all aspects of financial services regulatory reform affecting the insurance industry HR 3817 Investor Protection Act - all aspects pertaining to the sale of financial products and the licensing of agents HR 2733/S 1389 - Fixed Indexed Annuities and Insurance Products Classification Act; Issue: clarify that certain annuity products are exempt from federal regulation S. 1297 Retirement Security for Life Act. Issue: Tax Incentives for Annuities HR 2748 Retirement Security Needs Lifetime Pay Act of 2009. Issue: Tax incentives for Annuities. NOT YET INTRODUCED Restrictions on insurers use of credit scoring; Issue: ability to continue to use an accurate predictor of insurance claims

Help ensure rationality, fairness and more certainty in legal system (including S. 386/H.R. 1793/S. 378, FERA; H.R. 1020/S. 931, Patient-Focused Critical Care Enhancement Act; H.R. 1728, Mortgage Reform and Anti-Predatory Lending Act; H.R. 991, Consumer Fairness Act of 2009; H.R. 1237/S. 512, Fairness in Nursing Home Arbitration Act of 2009; H.R. 1214, Payday Loan Reform Act; S. 263/H.R. 1474, Servicemembers Access to Justice Act of 2009; S. 1551, Liability for Aiding and Abetting Securities Violations Act of 2009; S. 2813, Investors Rights and Corporate Accountability Act of 2009; H.R. 3326, De Departments of Defense Appropriations Act, 2010; S.1504, Notice Pleading Restoration Act of 2009; Restoring American financial Stability Act of 2010.

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

HR 74, HR 885, HR 977, HR 1754, HR 2111, HR 2253, HR 3126, HR 3269, HR 3300, HR 3310, HR 3996, HR 4142, HR 4173, HR 4191, S 298, S 344, S 567, S 605, S 664, S 1354, S 1691, S 2746, S 2756, S 2813

Client expense: $790,000 · Firm income: Not reported

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

Issues relating to securities markets, investor protection and regulatory reform. H.R. 4173, The Wall Street Reform and Consumer Protection Act of 2009 H.R. 3817, Investor Protection Act of 2009 S. 1074, Shareholder Bill of Rights Act of 2009 Senate Committee on Banking - Restoring American Financial Stability Act (Section 984) S. 2813, Investors Rights and Corporate Accountability Act of 2009

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

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

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 1. 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 S. 1006/Excessive Pay Shareholder Approval Act, to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company. 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 H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009, all provisions regarding executive compensation and corporate governance. Discussion Draft of the Restoring Financial Stability Act of 2009, all provisions related to executive compensation and corporate governance. S. 2813/Investors Rights and Corporate Accountability Act, all provisions relating to executive compensation and corporate governance. Comments on proposed Treasury re: Proposed Guidance on Sound Incentive Compensation Policies. Comments on proposed SEC regulations to require proxy disclosure of employee compensation plans that pose a material risk to the company, expand disclosure of director qualifications, and expedite the reporting of proxy votes

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

HR 1880 - The National Insurance Consumer Protection Act; Issue: concerns about federal regulation of insurance S 664 and HR 1754 The Financial System Stabilization and Reform Act of 2009; Issue: continued role for state regulators HR 2554 National Association of Registered Agent and Brokers Reform Act; Issue:reducing costs and administrative difficulties associated with reciprocal licensing of multi-state insurance agents. We support this bill. HR 635 Establish National Commission on State Workers' Compensation Laws; Issue: Is there a need for this Commission? HR 3396 Financial Stability Improvement Act; S 2756 Financial Services Systemic Risk Oversight Council Act; Issue: how to define systemic risk?, what size and type of company should be regulated by the Council? concerns over creation of a pre-event resolution fund HR 2609 Create a federal Office of Insurance Information; Issue: need for federal insurance expertise HR 2571 and S 1363 Non-Admitted and Reinsurance Reform; Issue: need for reform for these insurance lines Financial Services Regulatory Reform bills, including HR 4173 Wall Street Reform and Consumer Protection Act of 2009, HR 3310 Consumer Protection and Regulatory Enhancement Act; HR 2253/S 298 Financial Markets Commission Act, HR 4191 Let Wall Street Pay for the Restoration of Main Street, HR 885/S 1354 Improved Financial and Commodity Markets Oversight and Accountability Act, HR 977 Derivatives Market Transparency and Accountability Act, HR 3300 Derivative Trading Accountability and Disclosure Act, S 1540 Resolution Reform Act, S 1691 Comprehensive Derivatives Regulation Act, S 2813 Investor Rights and Corporate Accountability Act HR 3269 Corporate and Financial Institution Compensation Fairness Act, HR 4142/S 2746 Too Big to Fail, Too Big to Exist Act, and HR 2111 Congressional Commission on Financial Accoutability and Preparedness Act; Issue: all aspects of financial services regulatory reform affecting the insurance industry HR 3817 Investor Protection Act - all aspects pertaining to the sale of financial products and the licensing of agents HR 2733/S 1389 - Fixed Indexed Annuities and Insurance Products Classification Act; Issue: clarify that certain annuity products are exempt from federal regulation NOT YET INTRODUCED Restrictions on insurers use of credit scoring; Issue: ability to continue to use an accurate predictor of insurance claims

Help ensure rationality, fairness and more certainty in legal system (including S. 386/H.R. 1793/S. 378, H.R. 1020/S. 931, H.R. 1728, H.R.991, H.R. 1237/S. 512, H.R. 1214, S. 263/H.R. 1474, S. 1551, S. 2813, H.R. 3326).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE