A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.

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

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2009, provisions related to regulation of short sales, including required Securities and Exchange Commission short sale study in S. 417; S. 3217, Restoring American Financial Stability Act of 2010, provisions related to regulation of short sales; Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time; Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173, provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices.

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules, sponsored access, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010 (S. 3217) re: equity market regulation.

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

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

Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 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", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G. - "Restoring American Financial Stability Act", regarding all provisions.

Client expense: $1,150,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

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: $315,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

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 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: $315,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

Initiatives related to CBOE's organization and modernization; including exchange rule fillings. Legislation and regulations pertaining to market structure, regulatory restructuring, portfolio margining and the futures markets in general. Regulations and legislation governing short sales of securities including S. 605. The display of securities quotes. HR4173, "Dodd Frank Wall Street Reform and Consumer Protection Act of 2010" and Restoring American Financial Stability act of 2010"

Client expense: $175,000 · Firm income: Not reported

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

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. 3217, Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time. Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

Client expense: Not reported · Firm income: Not reported

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. 3217, Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time. Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

Client expense: Not reported · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Regulation of U.S. securities markets, including electronic trading systems and short sales of securities and S.605. Modernization of financial regulation, including regulation of derivative instruments (HR 4173, the "Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010," and S 3217, the "Restoring American Financial Stability Act 0f 2010").

Client expense: Not reported · Firm income: $30,000

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

Regulation of securities trading and electronic trading systems. Regulations governing short sales of securities, including S.605.

Client expense: Not reported · Firm income: $15,000

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

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. 3217, Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time. Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. 3217, Restoring American Financial Stability Act of 2010, provisions realted to reguation of short sales; Potential future Securities and Exchange Commission rulemaking proceeding to adopt requirements for reporting short sales through the consolidated Tape in real time. Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Initiatives related to CBOE's organization and modernization; including exchange rule fillings. Legislation and regulations pertaining to market structure, regulatory restructuring, portfolio margining and the futures markets in general. Regulations and legislation governing short sales of securities including S. 605. The display of securities quotes. HR4173, "Dodd Frank Wall Street Reform and Consumer Protection Act of 2010" and Restoring American Financial Stability act of 2010"

Client expense: $180,000 · Firm income: Not reported

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

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 4173, "Dodd-Frank Act", a/k/a, "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", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title II, V, IX and XVI. - "Restoring American Financial Stability Act", regarding all provisions.

Client expense: $1,270,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

H.R. 4173 - Restoring American Financial Stability Act of 2010 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposed amendments to Reg SHO (circuit breaker,uptick etc...) SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09 SEC proposal Rule 206(4)-5, File # S7-18-09; Political Contributions by Certain Investment Advisors Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10

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

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

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

Legislation related to financial regulatory overhaul, including HR 4173 (Dodd-Frank Act), S. 3217 (Restoring American Financial Stability Act), with a particular focus on provisions related to investor protection, consumer protection, systemic risk, resolution authority, stable-value funds, and bank regulation. Legislation (including HR 302 and S 605) and regulation related to short-selling. Regulatory proposals related to money-market mutual fund reforms, target-date funds, market structure, and other securities issues.

Client expense: $622,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Federal Communications Commission (FCC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

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.3817: To provide the Securities and Exchange Commission with additional authorities to protect investors from violations of the securities laws 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 S 344 A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes 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. 1006 to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company S. 1074 to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives S. 1276 A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission, and for other purposes. S.1661: A bill to protect older Americans from misleading and fraudulent marketing practices, with the goal of increasing retirement security. S. 3149 to amend the Internal Revenue Code of 1986 to limit certain executive compensation paid by systemically significant financial institutions 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), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules sponsored access, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010 (S. 3217) re: equity market regulation.

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

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

Modernization of financial regulation, including harmonization of securities and commodities laws and regulation of derivative instruments (HR 4173, the "Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010," and the "Restoring American Financial Stability Act of 2010"). Regulations governing short sales of securities, including S.605, and display of securities quotes.

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

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

Regulation of securities trading and electronic trading systems. Regulations governing short sales of securities, including S.605.

Client expense: Not reported · Firm income: $15,000

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

Modernization of financial regulation, including harmonization of securities and commodities laws and regulation of derivative instruments (S 1691, the "Comprehensive Derivatives Regulation Act of 2009," HR 4173, the "Wall Street Reform and Consumer Protection Act of 2009," and the "Restoring American Financial Stability Act of 2010"). Regulations governing short sales of securities, including S.605, and display of securities quotes.

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

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

Regulation of U.S. securities markets, including electronic trading systems and short sales of securities and S.605. Modernization of financial regulation, including regulation of derivative instruments (S 1691, the "Comprehensive Derivatives Regulation Act of 2009," HR 4173, the "Wall Street Reform and Consumer Protection Act of 2009," and the "Restoring American Financial Stability Act 0f 2010").

Client expense: Not reported · Firm income: $30,000

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

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 977 To amend the Commodity Exchange Act to bring greater transparency and accountability to commodity markets, 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.3817: To provide the Securities and Exchange Commission with additional authorities to protect investors from violations of the securities laws H.R.3996 To improve financial stability 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 S 272 A bill to amend the Commodity Exchange Act to ensure that all agreements, contracts, and transactions with respect to commodities are carried out on a regulated exchange, and for other purposes. S 344 A bill to require hedge funds to register with the Securities and Exchange Commission, and for other purposes S 356 A bill to amend the Bank Holding Company Act of 1956 and the Revised Statutes of the United States to prohibit financial holding companies and national banks from engaging, directly or indirectly, in real estate brokerage or real estate management activities, and for other purposes. 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. 1006 to require a supermajority shareholder vote to approve excessive compensation of any employee of a publicly-traded company S. 1074 to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives S. 1276 A bill to require investment advisers to private funds, including hedge funds, private equity funds, venture capital funds, and others to register with the Securities and Exchange Commission, and for other purposes. S.1661: A bill to protect older Americans from misleading and fraudulent marketing practices, with the goal of increasing retirement security. S. 3149 to amend the Internal Revenue Code of 1986 to limit certain executive compensation paid by systemically significant financial institutions 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: $1,050,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Treasury, Dept of, U.S. Trade Representative (USTR)

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. _____ (unnumbered Dodd banking reform bill), Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

Client expense: Not reported · Firm income: $30,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

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 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 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", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G. - "Restoring American Financial Stability Act", regarding all provisions.

Client expense: $1,240,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

Legislation related to the financial regulatory overhaul, including HR 4173 (Wall Street Reform and Consumer Protection Act) and discussion drafts of the Restoring American Financial Stability Act. Legislation affecting the capital markets, including HR 302 and S 605, bills related to short selling; S 1074, the Shareholder's Bill of Rights; HR 2622, the Compliance Examinations and Inspections Act. Bills related to financial literacy, including S 638, S 1339, HR 1325 and HR 3037. Regulatory proposals related to cost-basis rules, money-market mutual fund reforms, and other securities issues.

Client expense: $621,000 · Firm income: Not reported

Government targets: Commerce, Dept of (DOC), Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Regulations affecting electronic trading of securities, including market structure issues. Modernization of financial regulation, including regulation of derivative instruments (S 1691, the "Comprehensive Derivatives Regulation Act of 2009," HR 4173, the "Wall Street Reform and Consumer Protection Act of 2009," and the "Restoring American Financial Stability Act of 2010"). Regulations governing short sales of securities, including S 605.

Client expense: Not reported · Firm income: $90,000

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

SEC rulemaking regarding penny stock trading, trading on the OTC market, short sale rules, financial regulation restructing, H.R. 302, S. 605, H.R. 1406, short sale rules; financial regulation restructuring; H.R. 4173 and Senate Restoring American Financial Stability Act of 2010.

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

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

H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 Restoring American Financial Stability Act of 2010 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10

Client expense: $1,190,000 · Firm income: Not reported

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

Amendment of S.E.C. Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. ____ (unnumbered Dodd banking reform bill), Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

Client expense: Not reported · Firm income: $30,000

Government targets: SENATE

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; H.R. 4173, Wall Street Reform and Consumer Protection Act of 2009 and S. ____ (unnumbered Dodd banking reform bill), Restoring American Financial Stability Act of 2010 (provisions related to regulation of short sales); Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Initiatives related to CBOE's organization and modernization; including exchange rule fillings. Legislation and regulations pertaining to market structure, regulatory restructuring, portfolio margining and the futures markets in general. Regulations and legislation governing short sales of securities including S. 605. The display of securities quotes. Modernization of financial regulation including S 1691 the "Comprehensive Derivatives Regulation Act of 2009", HR 4173 the "Wall Street Reform and Consumer ProtectionAct of 2009, and the "Restoring Financial Stability Act of 2010".

Client expense: $270,000 · Firm income: Not reported

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

- HR 302, "To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities", regarding all provisions. - S 605, "A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities", regarding all provisions. - HR 1406, "To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles" a/k/a "Stock Market Recovery Act of 2009", regarding all provisions. - HR 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", a/k/a "Wall Street Reform & Consumer Protection Act of 2009", regarding Title VI and Title I Subtitle G.

Client expense: $1,210,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR)

HR 74, HR 498, HR 885, HR 977, HR 1754, HR 2111, HR 2253, S 298, S 344, S 567, S 605, S 664

Client expense: $907,076 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Justice, Dept of (DOJ), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

S.344 Hedge Fund Transparency Act S.360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. S. 2886, the Banking Integrity Act of 2009 (all provisions) Draft Senate legislation to restructure financial services regulation (all provisions) H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) H.R. 1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) H.R. 3795, the Over-the-Counter Derivatives Markets Act of 2009 (all provisions) H.R. 3890, the Accountability and Transparency in Rating Agencies Act (all provisions) H.R. 3996, the Financial Stability Improvement Act of 2009 (all provisions) H.R. 4173, the Wall Street Reform and Consumer Protection Act of 2009 (all provisions) H.R. 4375, the Glass-Steagall Restoration Act (all provisions) Letter to express support for ABA letter regarding recommendations to help well-managed, viable banks address their capital needs. Auction Announcement, New Small banks capital program, ABA recommendations.

Client expense: $2,300,000 · Firm income: Not reported

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office

S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) H.R. 1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) Administration Proposal to Restructure Financial Services Regulation (all provisions) Administration Proposal on Systemic Risk Regulation (all provisions) The Over-the Counter Derivatives Markets Act of 2009, Draft Legislation

Client expense: $2,280,000 · Firm income: Not reported

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

S. 272 Derivatives Trading Integrity Act S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 383, the Special Inspector General for the Troubled Asset Relief Program Act of 2009 S. 605 A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities S. 651, the Compensation Fairness Act of 2009 (all provisions) S.1074 Shareholder Bill of Rights H.R. 2861 Shareholder Empowerment Act H.R. 302 To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711 Hedge Fund Adviser Registration Act of 2009 H.R. 977 Derivatives Markets Transparency Accountability Act H.R. 1406 To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) H.R. 1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards. Administration Proposal to Restructure Financial Services Regulation (all provisions)

Client expense: $2,010,000 · Firm income: Not reported

Government targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office

Amendment of SEC Regulation SHO, including implementation of a firm locate/pre-borrow requirement; Securities trading regulation, including S. 605, H.R. 302, and H.R. 4173 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 977 - Derivatives Markets Transparency and Accountability Act of 2009; provisions relating to use of derivatives by insurers H.R. 991 - Consumer Fairness Act of 2009; provisions affecting securities industry and franchise relationships H.R. 1020 - Arbitration Fairness Act of 2009; provisions affecting securities industry and franchise relationships H.R. 1664 - To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards; entire bill H.R. 1754 - Financial System Stabilization and Reform Act of 2009; entire bill H.R. 2221 The Data Accountability and Trust Act; provisions relating to non-applicability to GLB-regulated financial firms H.R. 3126 - Consumer Financial Protection Agency Act of 2009; provisions relating to banking, insurance, securities, and financial planning H.R. 3269 Corporate and Financial Institution Compensation Fairness Act; entire bill H.R. 3300 - Derivative Trading Accountability and Disclosure Act; provisions relating to use of derivatives by insurers H.R. 3310 - Consumer Protection and Regulatory Enhancement Act; entire bill H.R. 3795 Over the Counter Derivatives Market Act; provisions relating to use of derivatives by insurers H.R. 3817 Investor Protection Act of 2009; entire bill H.R. 3818 - Private Fund Investment Advisers Registration Act of 2009; entire bill H.R. 3890 - Accountability and Transparency in Rating Agencies Act; entire bill H.R. 3996 - Financial Stability Improvement Act of 2009; provisions relating to systemic risk management, thrift holding company charters, resolution authority H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009; entire bill S. 272 - Derivatives Trading Integrity Act of 2009; provisions relating to use of derivatives by insurers S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities; 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 S. 1691 - Comprehensive Derivatives Regulation Act of 2009; provisions relating to use of derivatives by insurers Bill Not Yet Assigned: Senate Banking Committee legislation Restoring American Financial Stability Act of 2009; entire proposal

Client expense: $440,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Amendment of S.E.C. Regulation SHO, including implementation of a firm locate/pre-borrow requirement; Securities trading regulation, including S. 605 (provisions related to reinstating the short sale uptick rule and regulating abusive short selling practices).

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

Government targets: SENATE