JOSEPH SEIDEL

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 3312, Systemic Risk Designation Improvement Act of 2017 H.R. 10, Financial CHOICE Act of 2017 General Dodd-Frank Act Title VII Reforms S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act

Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio CFTC Cross-border application of margin requirements for uncleared swaps Federal Reserve's Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) FRB rules on Stress Test/Comprehensive Capital Analysis and Review H.R. 3312, Systemic Risk Designation Improvement Act of 2017 General Financial Services and General Government (FSGG) Appropriations House Commodities Exchange Act Infrastructure Financing

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 3312, Systemic Risk Designation Improvement Act of 2017 H.R. 10, Financial CHOICE Act of 2017 General FinTech (financial technology) General Dodd-Frank Act Title VII Reforms

General Tax Reform S. 1005, Modernization of Derivatives Tax Act of 2017 Section 385 Reform

General Tax Reform S. 1005, Modernization of Derivatives Tax Act of 2017 Section 385 Reform

General Tax Reform S. 1005, Modernization of Derivatives Tax Act of 2017 Section 385 Reform

S. 1005, Modernization of Derivatives Tax Act of 2017 H.R. 1, Tax Cuts and Jobs Act

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 3312, Systemic Risk Designation Improvement Act of 2017 H.R. 10, Financial CHOICE Act of 2017 General Dodd-Frank Act Title VII Reforms S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act

H.R. 238, Commodity End-User Relief Act H.R. 1309, Systemic Risk Designation Improvement Act of 2015 (114th Cong.) Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio CFTC Cross-border application of margin requirements for uncleared swaps Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio CFTC Cross-border application of margin requirements for uncleared swaps Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) H.R. 1309, Systemic Risk Designation Improvement Act of 2015 General Financial Services and General Government (FSGG) Appropriations House Commodities Exchange Act Infrastructure Financing

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 (114th Cong.) H.R. 5983, Financial CHOICE Act of 2016 (114th Cong.) S. 1484, Financial Regulatory Improvement Act of 2015 (114th Cong.) Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions General FinTech (financial technology) Student lending

Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio CFTC Cross-border application of margin requirements for uncleared swaps Federal Reserve's Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) H.R. 1309, Systemic Risk Designation Improvement Act of 2015 General Financial Services and General Government (FSGG) Appropriations House Commodities Exchange Act Infrastructure Financing

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 (114th Cong.) H.R. 5983, Financial CHOICE Act of 2016 (114th Cong.) S. 1484, Financial Regulatory Improvement Act of 2015 (114th Cong.) Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions General FinTech (financial technology) Student lending

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 3312, Systemic Risk Designation Improvement Act of 2017 H.R. 10, Financial CHOICE Act of 2017 General Dodd-Frank Act Title VII Reforms S. 2155, Economic Growth, Regulatory Relief, and Consumer Protection Act

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 3312, Systemic Risk Designation Improvement Act of 2017 H.R. 10, Financial CHOICE Act of 2017 General FinTech (financial technology) General Dodd-Frank Act Title VII Reforms

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 (114th Cong.) H.R. 5983, Financial CHOICE Act of 2016 (114th Cong.) S. 1484, Financial Regulatory Improvement Act of 2015 (114th Cong.) Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions General FinTech (financial technology) Student lending

Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 S. 1484, Financial Regulatory Improvement Act of 2015 General Fixed Income Market Structure General Equity Market Structure H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 General FinTech (financial technology) House Agriculture Committee FY18 Appropriations

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 House Commodities Exchange Act (to be introduced in the 115th Congress) Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio SEC proposed rule on Treatment of Cross-Border Security-Based Swap Transactions CFTC Cross-border application of margin requirements for uncleared swaps Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 S. 1484, Financial Regulatory Improvement Act of 2015 Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives General cybersecurity

H.R. 1309,Systemic Risk Designation Improvement Act of 2015 CFTC Uncleared Margin Rule Fed/OCC/FDIC Uncleared Margin proposal Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio SEC proposed rule on Treatment of Cross-Border Security-Based Swap Transactions CFTC Cross-border application of margin requirements for uncleared swaps SEC uncleared margin rules Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

H.R. 1309,Systemic Risk Designation Improvement Act of 2015 Supplemental Leverage Ratio CFTC Uncleared Margin Rule Fed/OCC/FDIC Uncleared Margin proposal Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio SEC proposed rule on Treatment of Cross-Border Security-Based Swap Transactions CFTC Cross-border application of margin requirements for uncleared swaps SEC uncleared margin rules Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

H.R. 1309,Systemic Risk Designation Improvement Act of 2015 Supplemental Leverage Ratio CFTC Uncleared Margin Rule Fed/OCC/FDIC Uncleared Margin proposal Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio SEC proposed rule on Treatment of Cross-Border Security-Based Swap Transactions CFTC Cross-border application of margin requirements for uncleared swaps SEC uncleared margin rules Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

H.R. 1309,Systemic Risk Designation Improvement Act of 2015 Supplemental Leverage Ratio CFTC Uncleared Margin Rule Fed/OCC/FDIC Uncleared Margin proposal Fed final rule liquidity coverage ratio Consultative Document, Basel III: The Net Stable Funding Ratio SEC proposed rule on Treatment of Cross-Border Security-Based Swap Transactions CFTC Cross-border application of margin requirements for uncleared swaps SEC uncleared margin rules Federal Reserves Proposed Rule on Single Counter Party Credit Limits Total Loss Absorbing Capital (TLAC) General Financial Services and General Government (FSGG) Appropriations

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 S. 1484, Financial Regulatory Improvement Act of 2015 Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives General cybersecurity

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 5983, Financial CHOICE Act of 2016 S. 1484, Financial Regulatory Improvement Act of 2015 Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure General Equity Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives General cybersecurity

H.R. 1309, Systemic Risk Designation Improvement Act of 2015 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 House Making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agencies programs for the fiscal year ending September 30, 2016, and for other purposes Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 General Fixed Income Market Structure Secured Finance Transactions CFTCs proposed rule on Regulation Automated Trading SECs proposed rule on 40 Act Fund Use of Derivatives

H.R. 3049, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2016 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 CFTC Position Limits

H.R.3049, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2016 S. 1484, Financial Regulatory Improvement Act of 2015 Commodity Exchange Act Reauthorization Department of Labor Notice of Proposed Exemption at 79 FR 52365 Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Department of Labor Proposed Fiduciary Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3

H.R. 3049, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2016 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 CFTC Position Limits

H.R. 3049, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2016 H.R. 3189, Fed Oversight Reform and Modernization (FORM) Act of 2015 S. 1484, Financial Regulatory Improvement Act of 2015 Commodity Exchange Act Reauthorization Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3 CFTC Position Limits

H.R.3049, Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2016 S. 1484, Financial Regulatory Improvement Act of 2015 Commodity Exchange Act Reauthorization Department of Labor Notice of Proposed Exemption at 79 FR 52365 Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940 Department of Labor Proposed Fiduciary Rule Securities and Exchange Commission Customer Protection Rule, Rule 15c3-3

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013 S. 2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act S.1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes S. 1217, Housing Finance Reform and Taxpayer Protection Act H.R. 4167, Restoring Proven Financing for American Employers Act CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013 S. 2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act S.1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes S. 1217, Housing Finance Reform and Taxpayer Protection Act H.R. 4167, Restoring Proven Financing for American Employers Act CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 4413 (Customer Protection and End-User Relief Act, CEA Reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013)

H.R. 4413, Customer Protection and End-User Relief Act, CEA reauthorization bill S. 2601, The Risk Hedging Protection Act H.R. 4697, Small-Cap Access to Capital Act S. 451, Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013 Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 4413 (Customer Protection and End-User Relief Act, CEA reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013) Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 4413 (Customer Protection and End-User Relief Act, CEA Reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013)

H.R. 4413, Customer Protection and End-User Relief Act, CEA reauthorization bill S. 2601, The Risk Hedging Protection Act H.R. 4697, Small-Cap Access to Capital Act S. 451, Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013 Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 4413 (Customer Protection and End-User Relief Act, CEA reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013) Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013 S. 2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act S.1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes S. 1217, Housing Finance Reform and Taxpayer Protection Act H.R. 4167, Restoring Proven Financing for American Employers Act CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013 S. 2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act S.1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes S. 1217, Housing Finance Reform and Taxpayer Protection Act H.R. 4167, Restoring Proven Financing for American Employers Act CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013 S. 2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act S.1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes S. 1217, Housing Finance Reform and Taxpayer Protection Act H.R. 4167, Restoring Proven Financing for American Employers Act CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) The Volcker Rule Interpretation issues regarding: Securities Act of 1933 and Investment Company Act of 1940

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R. 4413, Customer Protection and End-User Relief Act, CEA reauthorization bill S. 2601, The Risk Hedging Protection Act H.R. 4697, Small-Cap Access to Capital Act S. 451, Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013 Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 4413 (Customer Protection and End-User Relief Act, CEA reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013) Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 4413 (Customer Protection and End-User Relief Act, CEA Reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013)

S. 451, Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013 Terrence Thompson lobbied in the House only through 3/4/14.

H.R. 4413 (Customer Protection and End-User Relief Act, CEA Reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013)

H.R. 4413, Customer Protection and End-User Relief Act, CEA reauthorization bill S. 2601, The Risk Hedging Protection Act H.R. 4697, Small-Cap Access to Capital Act S. 451, Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013 Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 4413 (Customer Protection and End-User Relief Act, CEA reauthorization bill) S. 2601 (The Risk Hedging Protection Act) H.R. 4697 (Small-Cap Access to Capital Act) S. 451 (Dodd-Frank Wall Street Reform and Consumer Protection Technical Corrections Act of 2013) Fed/OCC/FDIC Uncleared Margin proposal Fed final rule supplemental leverage ratio Fed final rule liquidity coverage ratio CFTC Uncleared margin proposal Consultative Document, Basel III: The Net Stable Funding Ratio

H.R. 2767 (Protecting American Taxpayers and Homeowners Act of 2013) S. 2102 (A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act) S.1369 (A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes) S. 474 (Swaps Regulatory Improvement Act) S. 1217 (Housing Finance Reform and Taxpayer Protection Act) CFTC No Action Letter 14-02 and 14-03 CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments Federal Reserve Proposed Rule on FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies (77 Fed. Reg. 594, Jan. 5, 2012) H.R. 4167 (Restoring Proven Financing for American Employers Act) H.R. 3928 (The Federal Reserve Accountability and Transparency Act) H.R. 3448 (Small Cap Liquidity Reform Act of 2014) H.R. 4697 (Small-Cap Access to Capital Act) S. 1907 (Fairness for Community Job Creators Act) The Volcker Rule

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.2102, A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; S. 1369, A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only through 3/4/14

H.J.Res. 59, Continuing Appropriations Resolution, 2014 Terrence Thompson lobbied in the House only through 3/4/14

H.R. 677, Inter-Affiliate Swap Clarification Act H.R. 992, Swaps Regulatory Improvement Act H.R. 1003, To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and ordersH.R. 1256, Swap Jurisdiction Certainty Act Federal Reserve Notice 75 FR 72741, regarding Volcker Rule Conformance Period Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers CFTC Proposed Rule: 78 FR 909 17 CFR Chapter I- Further Proposed Guidance Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41110 17 CFR Chapter I- Exemptive Order Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41213 17 CFR Chapter I- Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other requirements for swap execution facilities (76 FR 1213) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (76 FR 58186) SEC - Proposed rule - Registration of Municipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA-3110; File No. S7-36-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule Terrence Thompson lobbied in the House only.

Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealersH.R. 677, the Inter-Affiliate Swap Clarification Act H.R. 992, the Swaps Regulatory Improvement Act H.R. 1003, To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders. H.R. 1256, the Swap Jurisdiction Certainty Act CFTC Proposed Rule: 78 FR 909 17 CFR Chapter I- Further Proposed Guidance Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41110 17 CFR Chapter I- Exemptive Order Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41213 17 CFR Chapter I- Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule Terrence Thompson lobbied in the House only.

H.R. 677, Inter-Affiliate Swap Clarification Act H.R. 992, Swaps Regulatory Improvement Act H.R. 1003, To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and ordersH.R. 1256, Swap Jurisdiction Certainty Act S.1217, Housing Refinance Reform and Taxpayer Protection Act of 2013 Federal Reserve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers CFTC Proposed Rule: 78 FR 909 17 CFR Chapter I- Further Proposed Guidance Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41110 17 CFR Chapter I- Exemptive Order Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41213 17 CFR Chapter I- Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 CFTC - Core principles and other requirements for swap execution facilities (76 FR 1213) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (76 FR 58186) SEC - Proposed rule - Registration of Municipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA-3110; File No. S7-36-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule Terrence Thompson lobbied in the House only.

Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealersH.R. 677, the Inter-Affiliate Swap Clarification Act H.R. 992, the Swaps Regulatory Improvement Act H.R. 1003, To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders. H.R. 1256, the Swap Jurisdiction Certainty Act CFTC Proposed Rule: 78 FR 909 17 CFR Chapter I- Further Proposed Guidance Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41110 17 CFR Chapter I- Exemptive Order Regarding Compliance With Certain Swap Regulations CFTC Proposed Rule: 77 FR 41213 17 CFR Chapter I- Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule Terrence Thompson lobbied in the House only.

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03,; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only.

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03,; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only.

H.R.742, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013; H.R. 992, Swaps Regulatory Improvement Act; H.R. 1256, Swap Jurisdiction Certainty Act; H.R. 1800, Small Business Credit Availability Act;H.R.1952, Spread Pricing Liquidity Act of 2013; H.R.3448, Small Cap Liquidity Reform Act of 2013; H.R. 3448, Small Cap Liquidity Reform Act of 2013; H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013; S.474, Swaps Regulatory Improvement Act; S. 1217, Housing Finance Reform and Taxpayer Protection Act; CFTC No Action Letter 14-02 and 14-03,; CFTC Concept Release on Risk Controls and System Safeguards for Automated Trading Environments, Federal Reserve; Proposed Rule, FRB, Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies, 77 Fed. Reg. 594 (Jan. 5, 2012) Terrence Thompson lobbied in the House only.