Reported covered position: N/A
How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
UBS AMERICAS INC via UBS AMERICAS INC.
2025 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.
Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Source: Senate LDA
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
To provide that an alien who has traveled to Iraq or Syria during the 5-year period prior to the alien's application for admission is ineligible to be admitted to the United States under the visa waiver program, and for other purposes.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB32-Definition of the term "Fiduciary" - Deparment of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" -Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32 - Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Brownfield Redevelopment and Economic Development Innovative Financing Act of 2014
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definitions, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues.29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Swap Execution Facility Clarification Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Swap Execution Facility Clarification Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Business Risk Mitigation and Price Stabilization Act of 2012
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Business Risk Mitigation and Price Stabilization Act of 2012
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
National Infrastructure Development Bank Act of 2011
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
National Infrastructure Development Bank Act of 2011
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues.
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements and fiduciary standards)
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
Swap Execution Facility Clarification Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
Swap Execution Facility Clarification Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, fiduciary standards and financing options concerning education loans). HR 940. United States Covered Bond Act of 2011, all sections. S. 652- Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
National Infrastructure Development Bank Act of 2011
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions and fiduciary standards). Financing options concerning education loans 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration HR 940. United States Covered Bond Act of 2011 National Infrastructure Bank Reform S. 652- Building and Upgrading Infrastructure for Long-Term Development H.R. 402 - National Infrastructure Development Bank Act of 2011 S. 963 - The American Infrastructure Investment Fund Act of 2011
National Infrastructure Development Bank Act of 2011
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
National Infrastructure Development Bank Act of 2011
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, fiduciary standards and financing options concerning education loans). HR 940. United States Covered Bond Act of 2011, all sections. S. 652- Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
Prevent Iran from Acquiring Nuclear Weapons and Stop War Through Diplomacy Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, fiduciary standards and financing options concerning education loans). HR 940. United States Covered Bond Act of 2011, all sections. S. 652- Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions and fiduciary standards). Financing options concerning education loans 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration HR 940. United States Covered Bond Act of 2011 National Infrastructure Bank Reform S. 652- Building and Upgrading Infrastructure for Long-Term Development H.R. 402 - National Infrastructure Development Bank Act of 2011 S. 963 - The American Infrastructure Investment Fund Act of 2011
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, fiduciary standards and financing options concerning education loans). HR 940. United States Covered Bond Act of 2011, all sections. S. 652- Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions, fiduciary standards, and capital standards). Financing options concerning education loans S. 652- Building and Upgrading Infrastructure for Long-Term Development 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary"- Department of Labor Employee Benefits Security Administration HR 940- United States Covered Bond Act of 2011
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
Liability for Aiding and Abetting Securities Violations Act of 2010
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 5042- Private Student Loan Bankruptcy Fairness Act of 2010 Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions, fiduciary standards, and capital standards).
Private Student Loan Bankruptcy Fairness Act of 2010
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
S. 3217/HR 4173- Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 Regulatory implementation of Dodd-Frank swap provisions
Private Student Loan Bankruptcy Fairness Act of 2010
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
S.3217/ HR 4173 - Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 12b-1 Fees
HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" S.3217- "Restoring American Financial Stability Act of 2010" S.1541- "Private Student Loan Debt Swap Act"
Overseas Voting Education and Reform, Safeguarding Every American's Vote Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
S.3217/ HR 4173 - Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 12b-1 Fees
Overseas Voting Education and Reform, Safeguarding Every American's Vote Act
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
S. 3217/HR 4173- Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 Regulatory implementation of Dodd-Frank swap provisions
Helping Families Save Their Homes Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Financial Services industry regulatory restructuring. Monoline insurers and associated issues in the auction rate securities markets. Implementation of the Troubled Asset Relief program. H.R. 1- American Recovery and Reinvestment Act of 2009 S. 61/ HR. 1106- Helping Families Save Their Homes in Bankruptcy Act of 2009
401(k) Fair Disclosure for Retirement Security Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Financial Services Industry regulatory restructuring. Implementation of the Troubled Asset Relief Program. HR. 1984- 401(k) Fair Disclosure for Retirement Security Act of 2009.
401(k) Fair Disclosure and Pension Security Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 2989- "401(k) Fair Disclosure and Pension Security Act"- investment option requirements HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" Senator Dodd Discussion Draft- "Restoring American Financial Stability Act of 2009" SEC proposed rule IA-2910- proposed rule concerning limiting placement agency activity
401(k) Fair Disclosure and Pension Security Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 2989- "401(k) Fair Disclosure and Pension Security Act" - investment option requirements HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" Senator Dodd Discussion Draft - "Restoring American Financial Stability Act of 2009" SEC proposed rule IA-2910-proposed rule concerning limiting placement agent activity
401(k) Fair Disclosure and Pension Security Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 3795- Over-the-Counter Derivatives Markets Act 2009 HR 3817- Investor Protection Act-issues related to regulation of investment advisors and broker-dealers HR 2989- 401(k) Fair Disclosure and Pension Security Act--investment option requirements Implementation of TALF Student loan bankruptcy treatment Proposal to grandfather ILCs Proposed SEC rule limiting placement agent activity
Over-the-Counter Derivatives Markets Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 3795- Over-the-Counter Derivatives Markets Act 2009 HR 3817- Investor Protection Act-issues related to regulation of investment advisors and broker-dealers HR 2989- 401(k) Fair Disclosure and Pension Security Act--investment option requirements Implementation of TALF Student loan bankruptcy treatment Proposal to grandfather ILCs Proposed SEC rule limiting placement agent activity
HR 3795- Over-the-Counter Derivatives Markets Act 2009 HR 3817- Investor Protection Act-issues related to regulation of investment advisors and broker-dealers HR 2989- 401(k) Fair Disclosure and Pension Security Act--investment option requirements Implementation of TALF Student loan bankruptcy treatment Proposal to grandfather ILCs Proposed SEC rule limiting placement agent activity
Helping Families Save Their Homes in Bankruptcy Act of 2009
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Financial Services industry regulatory restructuring. Monoline insurers and associated issues in the auction rate securities markets. Implementation of the Troubled Asset Relief program. H.R. 1- American Recovery and Reinvestment Act of 2009 S. 61/ HR. 1106- Helping Families Save Their Homes in Bankruptcy Act of 2009
Expanding American Homeownership Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Emergency Home Ownership and Mortgage Equity Protection Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 3609, "Emergency Home Ownership and Mortgage Equity Protection Act of 2007." S 2136, "Helping Families Save their Homes in Bankruptcy Act of 2007."
Defined Contribution Plan Fee Transparency Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
To amend the Internal Revenue Code of 1986 with respect to the treatment of prepaid derivative contracts.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
Emergency Mortgage Loan Modification Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Emergency Mortgage Loan Modification Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Emergency Mortgage Loan Modification Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Ensuring Continued Access to Student Loans Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Implementation of HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
Ensuring Continued Access to Student Loans Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
Ensuring Continued Access to Student Loans Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
Commodity Markets Transparency and Accountability Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 6604, "Commodity Markets Transparency and Accountability Act of 2008
Simplification Through Additional Reporting Tax Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
Federal Housing Enterprise Regulatory Reform Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Federal Housing Enterprise Regulatory Reform Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Federal Housing Enterprise Regulatory Reform Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Helping Families Save Their Homes in Bankruptcy Act of 2008
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 3609, "Emergency Home Ownership and Mortgage Equity Protection Act of 2007." S 2136, "Helping Families Save their Homes in Bankruptcy Act of 2007."
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Financial Services Industry regulatory restructuring. Monoline insurers and associated issues in the auction rate securities markets. Implementation of the Troubled Asset Relief Program. S. 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR. 1424, "Emergency Economic Stabilization Act of 2008." Regulatory issues affecting derivatives trading.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Simplification Through Additional Reporting Tax Act of 2007
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
HR 1427, "Federal Housing Finance Reform Act;" HR 3012, "Fair Mortgage Practices Act of 2007;" S 1299, "Borrower's Protection Act;" U.S. Sanctions policy- consulted with staff from Treasury, SEC and Capitol Hill regarding U.S. sanctions policy; HR 1527, "Shareholder Vote Executive Compensation Act." S. 1348, "Comprehensive Immigration Reform Act of 2007"
To amend the Internal Revenue Code of 1986 to deny qualified dividend income treatment to certain foreign dividends.
Client: UBS AMERICAS INC · Firm: UBS AMERICAS INC.
(S 1624/ HR 2785 Continued)...adviser and related asset management services"; HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services" (Carried interest); HR 2/ S 2, Minimum Wage Legislation (tax titles); S 601/ HR 878, "Simplification Through Additional Reporting Tax Act of 2007" (Basis reporting); HR 2136/ S 681, "Stop Tax Haven Abuse Act" (including economic substance); HR 1672, "To deny qualified dividend income treatment to certain foreign dividends" (qualified dividend); HR 2470, "America's Better Classroom Act of 2007" (tax credit bonds). HR 556 ENR, "Foreign Investment and National Security Act of 2007"; Trade issues between the United States and Switzerland.
HR 1427, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." U.S. Sanctions policy- consulted with staff from Treasury, SEC and Capitol Hill regarding U.S. sanctions policy. HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." S 2058, "Close the Energy Loophole Act." HR 4626, "CFTC Reauthorization Act of 2007." HR 3185, "401(k) Fair Disclosure for Retirement Security Act." HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." Addressed SEC with respect to the adoption of International Financial Accounting Standards and regarding mutual fund fees. Addressed the SEC and the Department of Treasury regarding the regulation of Investment Advisors and Broker Dealers. Addressed the House of Representatives regarding regulatory reform. Addressed the Department of Homeland Security, the Executive Office of the President, and the Senate with respect to visa reform issues, including an increase in H1-B visas and extension of time limits on Optional Practical Training visas. S 1348, "Comprehensive Immigration Reform Act of 2007." HR 1908/S 1145, "The Patent Reform Act of 2007."
(S 1624/ HR 2785 Continued)...adviser and related asset management services"; HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services" (Carried interest); HR 2/ S 2, Minimum Wage Legislation (tax titles); S 601/ HR 878, "Simplification Through Additional Reporting Tax Act of 2007" (Basis reporting); HR 2136/ S 681, "Stop Tax Haven Abuse Act" (including economic substance); HR 1672, "To deny qualified dividend income treatment to certain foreign dividends" (qualified dividend); HR 2470, "America's Better Classroom Act of 2007" (tax credit bonds). HR 556 ENR, "Foreign Investment and National Security Act of 2007"; Trade issues between the United States and Switzerland.
(HR 2785/S 1624 Continued)...adviser and related asset management services." HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services." (Carried interest) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 2470, "America's Better Classroom Act of 2007." (Tax credit bonds) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 3452, "To amend the Internal Revenue Code of 1986 to allow a credit with respect to clean renewable water supply bonds." HR 3970, "To amend the Internal Revenue Code of 1986 to provide additional tax relief to low and moderate income individuals, to repeal the individual alternative minimum tax, to reform the corporate income tax, and for other purposes." HR 556 ENR, "Foreign Investment and National Security Act of 2007." Trade issues between the United States and Switzerland.
(S 1624/ HR 2785 Continued)...adviser and related asset management services"; HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services" (Carried interest); HR 2/ S 2, Minimum Wage Legislation (tax titles); S 601/ HR 878, "Simplification Through Additional Reporting Tax Act of 2007" (Basis reporting); HR 2136/ S 681, "Stop Tax Haven Abuse Act" (including economic substance); HR 1672, "To deny qualified dividend income treatment to certain foreign dividends" (qualified dividend); HR 2470, "America's Better Classroom Act of 2007" (tax credit bonds). HR 556 ENR, "Foreign Investment and National Security Act of 2007"; Trade issues between the United States and Switzerland.
(HR 2785/S 1624 Continued)...adviser and related asset management services." HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services." (Carried interest) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 2470, "America's Better Classroom Act of 2007." (Tax credit bonds) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 3452, "To amend the Internal Revenue Code of 1986 to allow a credit with respect to clean renewable water supply bonds." HR 3970, "To amend the Internal Revenue Code of 1986 to provide additional tax relief to low and moderate income individuals, to repeal the individual alternative minimum tax, to reform the corporate income tax, and for other purposes." HR 556 ENR, "Foreign Investment and National Security Act of 2007." Trade issues between the United States and Switzerland.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2024 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT), Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2023 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Base-Erosion Anti-Abuse Tax (BEAT) and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion Anti-Abuse Tax (BEAT), Wash Sales and Corporate Alternative Minimum Tax (CAMT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2022 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · fourth_quarter · 4A
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · fourth_quarter · Q4
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards. Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · third_quarter · Q3
Proposals to implement a financial transaction tax and increase financial institution reporting of client accounts. Issues related to the taxation of bonds, Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2021 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial Regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation on LIBOR transition.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · fourth_quarter · Q4
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · third_quarter · Q3
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · second_quarter · Q2
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation to provide emergency support to municipal bond market.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2020 · first_quarter · Q1
Proposals to implement a financial transaction tax. Issues related to the taxation of bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters. Legislation to provide emergency support to municipal bond market.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Issues related to the taxation of municipal bonds. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses. Legislation on industrial loan company charters.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · third_quarter · Q3
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · second_quarter · Q2
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker. Legislation on mandatory arbitration clauses.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2019 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base-Erosion and Anti-Abuse Tax (BEAT).
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · fourth_quarter · Q4
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · third_quarter · Q3
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · second_quarter · Q2
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers. Legislation to exclude affiliates and subsidiaries of insured depository institutions in the definition of deposit broker.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2018 · first_quarter · Q1
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest. Net Operating Loss, Interest Deductibility, Base Erosion and Anti-Abuse Tax (BEAT), and Pass-through issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4172, Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues. Fiduciary standards for brokers.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2017 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territorial application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2016 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · third_quarter · Q3
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · second_quarter · Q2
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2015 · first_quarter · Q1
Regulatory Implementations of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB32-Definition of the term "Fiduciary" - Deparment of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" -Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2014 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2013 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2013 · third_quarter · 3A
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2013 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2013 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN 1210-AB32 - Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2013 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution definitions, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues.29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2012 · fourth_quarter · Q4
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues.
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2012 · third_quarter · Q3
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements and fiduciary standards)
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2012 · second_quarter · Q2
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
UBS AMERICAS INC via UBS AMERICAS INC.
2012 · first_quarter · Q1
Regulatory Implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections. S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections. H.R. 3606 - The Reopening American Capital Markets to Emerging Growth Companies Act of 2011, all sections pertaining to IPO On-Ramp. H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act, all sections. H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011, all sections.
UBS AMERICAS INC via UBS AMERICAS INC.
2011 · second_quarter · Q2
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions and fiduciary standards). Financing options concerning education loans 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration HR 940. United States Covered Bond Act of 2011 National Infrastructure Bank Reform S. 652- Building and Upgrading Infrastructure for Long-Term Development H.R. 402 - National Infrastructure Development Bank Act of 2011 S. 963 - The American Infrastructure Investment Fund Act of 2011
Filing targets: Commodity Futures Trading Commission (CFTC), Education, Dept of, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Transportation, Dept of (DOT), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2011 · fourth_quarter · Q4
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards) H.R. 940 - United States Covered Bond Act of 2011, all sections. S. 1835 - United States Covered Bond Act, all sections S. 652 - Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. H.R. 3283 - Swap Jurisdiction Certainty Act, all sections
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2011 · third_quarter · Q3
Regulatory Implementation of HR. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, fiduciary standards and financing options concerning education loans). HR 940. United States Covered Bond Act of 2011, all sections. S. 652- Building and Upgrading Infrastructure for Long-Term Development, all sections, any provisions relating to the development and definition of the American Infrastructure Financing Authority. H.R. 402 - National Infrastructure Development Bank Act of 2011, all sections, any provisions relating to the development and definition of the National Infrastructure Development Bank. S. 936 - The American Infrastructure Investment Fund Act of 2011, all sections, any provisions relating to the American Infrastructure Investment Fund. H.R. 2586 - Swap Execution Facility Clarification Act of 2011, section 2, all provisions relating to the definition of Swap Execution Facility. 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Filing targets: Commodity Futures Trading Commission (CFTC), Education, Dept of, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2011 · first_quarter · Q1
Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions, fiduciary standards, and capital standards). Financing options concerning education loans S. 652- Building and Upgrading Infrastructure for Long-Term Development 29 CFR Part 2510, RIN 1210-AB32- Definition of the term "Fiduciary"- Department of Labor Employee Benefits Security Administration HR 940- United States Covered Bond Act of 2011
Filing targets: Commodity Futures Trading Commission (CFTC), Education, Dept of, HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2010 · fourth_quarter · Q4
HR 5042- Private Student Loan Bankruptcy Fairness Act of 2010 Regulatory Implementation of Dodd-Frank Wall Street Reform Act (swap provisions, fiduciary standards, and capital standards).
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2010 · third_quarter · Q3
S. 3217/HR 4173- Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 Regulatory implementation of Dodd-Frank swap provisions
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2010 · second_quarter · Q2
S.3217/ HR 4173 - Financial services regulatory reform legislation HR 5043- Private Student Loan Bankruptcy Fairness Act of 2010 12b-1 Fees
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2010 · first_quarter · Q1
HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" S.3217- "Restoring American Financial Stability Act of 2010" S.1541- "Private Student Loan Debt Swap Act"
Filing targets: HOUSE OF REPRESENTATIVES, SENATE
UBS AMERICAS INC via UBS AMERICAS INC.
2009 · fourth_quarter · 4A
HR 2989- "401(k) Fair Disclosure and Pension Security Act"- investment option requirements HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" Senator Dodd Discussion Draft- "Restoring American Financial Stability Act of 2009" SEC proposed rule IA-2910- proposed rule concerning limiting placement agency activity
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2009 · fourth_quarter · Q4
HR 2989- "401(k) Fair Disclosure and Pension Security Act" - investment option requirements HR 4173- "Wall Street Reform and Consumer Protection Act of 2009" Senator Dodd Discussion Draft - "Restoring American Financial Stability Act of 2009" SEC proposed rule IA-2910-proposed rule concerning limiting placement agent activity
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2009 · third_quarter · Q3
HR 3795- Over-the-Counter Derivatives Markets Act 2009 HR 3817- Investor Protection Act-issues related to regulation of investment advisors and broker-dealers HR 2989- 401(k) Fair Disclosure and Pension Security Act--investment option requirements Implementation of TALF Student loan bankruptcy treatment Proposal to grandfather ILCs Proposed SEC rule limiting placement agent activity
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)
UBS AMERICAS INC via UBS AMERICAS INC.
2009 · second_quarter · Q2
Financial Services Industry regulatory restructuring. Implementation of the Troubled Asset Relief Program. HR. 1984- 401(k) Fair Disclosure for Retirement Security Act of 2009.
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
UBS AMERICAS INC via UBS AMERICAS INC.
2009 · first_quarter · Q1
Financial Services industry regulatory restructuring. Monoline insurers and associated issues in the auction rate securities markets. Implementation of the Troubled Asset Relief program. H.R. 1- American Recovery and Reinvestment Act of 2009 S. 61/ HR. 1106- Helping Families Save Their Homes in Bankruptcy Act of 2009
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
UBS AMERICAS INC via UBS AMERICAS INC.
2008 · fourth_quarter · Q4
HR 6604, "Commodity Markets Transparency and Accountability Act of 2008
Financial Services Industry regulatory restructuring. Monoline insurers and associated issues in the auction rate securities markets. Implementation of the Troubled Asset Relief Program. S. 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR. 1424, "Emergency Economic Stabilization Act of 2008." Regulatory issues affecting derivatives trading.
Filing targets: Education, Dept of, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
UBS AMERICAS INC via UBS AMERICAS INC.
2008 · third_quarter · Q3
Implementation of HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes." HR 1424, "Emergency Economic Stabilization Act of 2008."
Filing targets: Education, Dept of, Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
UBS AMERICAS INC via UBS AMERICAS INC.
2008 · second_quarter · Q2
Issues relating to convergence of US GAAP and IFRS accounting standards. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." Mutual fund fees. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory restructuring. Sovereign wealth funds. SEC Rule 15a-6, a proposed regulation providing for expansion of U.S. investor options. Monoline insurers and associated issues in the auction rate securities markets. S 2636/HR 3221, "Foreclosure Prevention Act of 2008." HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
Filing targets: Education, Dept of, Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
UBS AMERICAS INC via UBS AMERICAS INC.
2008 · first_quarter · Q1
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Issues relating to convergence of US GAAP and IFRS accounting standards. Issues relating to international trading of securities. HR 1427/S 1100, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." Mutual fund fee structure. Regulation of Investment Advisors and Broker Dealers. Financial services industry regulatory reform, including the regulatory Blueprint from the Department of Treasury. Sovereign wealth funds and cross-border capital flow. Monoline insurers and associated issues in the auction rate securities markets. HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008." HR 1852/ S 2338, "Expanding American Homeownership Act of 2007." Draft legislation to allow the FHA to refinance distressed mortgages. S 2636, "Foreclosure Prevention Act of 2008," and HR 3221. HR 5579, "To remove an impediment to troubled debt restructuring on the part of holders of residential mortgage loans, and for other purposes."
UBS AMERICAS INC via UBS AMERICAS INC.
2007 · year_end · YY
HR 3609, "Emergency Home Ownership and Mortgage Equity Protection Act of 2007." S 2136, "Helping Families Save their Homes in Bankruptcy Act of 2007."
HR 2785/S 1624, "To amend the Internal Revenue Code of 1986 to provide that the exception from the treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment...
HR 698/S 1356, "Industrial Bank Holding Company Act of 2007." HR 948, "Social Security Number Protection Act." HR 958, "Data Accountability and Trust Act." HR 3046, "Social Security Number Privacy and Identity Theft Prevention Act." S 1260, "Data Security Act of 2007." S 2168, "Identity Theft Enforcement and Restitution Act."
UBS AMERICAS INC via UBS AMERICAS INC.
2007 · mid_year · MM
Addressed SEC with respect to implementation of rulemaking involving Rule 202 of the Investment Advisors Act; Issues relating to 401(k) Plan Fee Disclosures; Issues relating to hedge funds and private equity governance; Addressed SEC with respect to proposal to eliminate US GAAP Requirement.
(S 1624/ HR 2785 Continued)...adviser and related asset management services"; HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services" (Carried interest); HR 2/ S 2, Minimum Wage Legislation (tax titles); S 601/ HR 878, "Simplification Through Additional Reporting Tax Act of 2007" (Basis reporting); HR 2136/ S 681, "Stop Tax Haven Abuse Act" (including economic substance); HR 1672, "To deny qualified dividend income treatment to certain foreign dividends" (qualified dividend); HR 2470, "America's Better Classroom Act of 2007" (tax credit bonds). HR 556 ENR, "Foreign Investment and National Security Act of 2007"; Trade issues between the United States and Switzerland.
UBS AMERICAS INC via UBS AMERICAS INC.
2006 · year_end · YY
HR 1461, "Federal Housing Finance Reform Act" S 190, "Federal Housing Enterprise Regulatory Reform Act"
HR 4297, "Tax Relief Extension Act of 2005"; HR 3768 and S1696, "Hurricane Tax Relief and Assistance Leglislation"; HR 4440, "Katrina Emergency Tax Relief Act"; HR 6111, "Tax Relief & Healthcare Act".
Addressed issues relating to currency exchange programs; Data Security Legislation (HR 3376, HR 3997, HR 3160, HR 6127, S1332, S 1789, S751); Regulatory Relief Legislation (HR 3505, S 2856) Addressed proposed Treasury Reg. 133254-02 on reporting of deposit interest paid to non-resident aliens. HR 1185 Federal Deposit Insurance Reform Act of 2005 (deposit insurance caps) HR 1224 Business Checking Freedom Act of 2005; HR 1295 Responsible Lending Act of 2005; HR 1182 Prohibit Predatory Lending Act (secondary market liability);
UBS AMERICAS INC via UBS AMERICAS INC.
2006 · mid_year · MM
HR 5585, "Financial Netting Improvement Act of 2006"
HR 5337, "Reform of National Security Reviews of Foreign Direct Investment Act"; S 2333, "Foreign Investment Security Improvement Act of 2006"; Trade issues between the United States and Switzerland, the U. S. and Turkey, the U.S. and Korea.
HR 1461, "Federal Housing Finance Reform Act" S 190, "Federal Housing Enterprise Regulatory Reform Act"
UBS AMERICAS INC via UBS AMERICAS INC.
2004 · year_end · YY
HR 1375 Financial Services Regulatory Relief Act of 2003 (industrial loan corps); Work on draft of Senate Companion Bill to HR 1375; HR 2420 Mutual Funds Integrity and Fee Transparency Act of 2003 (mutual fund corporate governance); S 1971, Mutual Fund Investor Confidence REstoration Act of 2003 (mutual fund corporate governance);
HR 2575, Secondary Mortgage Market Enterprises Regulatory Improvement Act(assess impact of legislation on market financing and liquidity); S 1508, The Federal Housing Enterprise Regulatory Reform Act of 2004.
S.1125, The FAIR Act of 2003 (tracking asbestos reform).
UBS AMERICAS INC via UBS AMERICAS INC.
2003 · year_end · YY
HR2422 Fair and Accurate Credit Transactions Act of 2003 (privacy); HR975 Bankruptcy Abuse Prevention and Consumer Protection Act of 2003 (credit cards); S1753 National Consumer Credit Reporting System Improvement Act of 2003 (identity theft, privacy)
HR 522 Federal Deposit Insurance Reform Act of 2003 (deposit insurance caps); HR 758 Business Checking Freedom Act of 2003
HR1776 Pension Preservation and Savings Expansion Act of 2003 (pension reform)
UBS AMERICAS INC via UBS AMERICAS INC.
2003 · mid_year · MM
Filing targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Federal Trade Commission (FTC), HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, Vice President of the U.S., White House Office
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Filing targets: Commodity Futures Trading Commission (CFTC), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
HR 5715, "To ensure continued availability of access to the Federal student loan program for students and families." Proposal to enhance liquidity in student loan auction rate securities market.
HR 3609, "Emergency Home Ownership and Mortgage Equity Protection Act of 2007." S 2136, "Helping Families Save their Homes in Bankruptcy Act of 2007."
HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 2419, "Farm Bill Extension Act of 2007." (Tax titles) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." HR 5140, "Recovery Rebates and Economic Stimulus for the American People Act of 2008."
Filing targets: Education, Dept of, Executive Office of the President (EOP), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
HR 1427, "Federal Housing Finance Reform Act." HR 3012, "Fair Mortgage Practices Act of 2007." S 1299, "Borrower's Protection Act." U.S. Sanctions policy- consulted with staff from Treasury, SEC and Capitol Hill regarding U.S. sanctions policy. HR 3915, "Mortgage Reform and Anti-Predatory Lending Act of 2007." S 2058, "Close the Energy Loophole Act." HR 4626, "CFTC Reauthorization Act of 2007." HR 3185, "401(k) Fair Disclosure for Retirement Security Act." HR 3765, "To amend the Internal Revenue Code of 1986 to provide transparency with respect to fees and expenses charged to participant-directed defined contribution plans." Addressed SEC with respect to the adoption of International Financial Accounting Standards and regarding mutual fund fees. Addressed the SEC and the Department of Treasury regarding the regulation of Investment Advisors and Broker Dealers. Addressed the House of Representatives regarding regulatory reform. Addressed the Department of Homeland Security, the Executive Office of the President, and the Senate with respect to visa reform issues, including an increase in H1-B visas and extension of time limits on Optional Practical Training visas. S 1348, "Comprehensive Immigration Reform Act of 2007." HR 1908/S 1145, "The Patent Reform Act of 2007."
HR 6, "CLEAN Energy Act of 2007." HR 3221, New Direction for Energy Independence, national Security, and Consumer Protection Act." S 1419, "Renewable Fuels, Consumer Protection, and Energy Efficiency Act of 2007."
S 190, "To provide a technical correction to the Pension Protection Act of 2006." Computer model investment advice for participant-directed account plans. Qualified default investment alternatives for participant-directed account plans.
(HR 2785/S 1624 Continued)...adviser and related asset management services." HR 2834, "To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services." (Carried interest) HR 878/S 601, "Simplification Through Additional Reporting Tax Act of 2007." (Basis reporting) HR 2136/S 681, "Stop Tax Haven Abuse Act." (Including economic substance) HR 2470, "America's Better Classroom Act of 2007." (Tax credit bonds) HR 6, "CLEAN Energy Act of 2007." (Tax titles) HR 4351, "The AMT Relief Act." (Economic substance, non-qualified deferred compensation) HR 4912, "To amend the Internal Revenue Code with respect to the treatment of prepaid derivative contracts." HR 3452, "To amend the Internal Revenue Code of 1986 to allow a credit with respect to clean renewable water supply bonds." HR 3970, "To amend the Internal Revenue Code of 1986 to provide additional tax relief to low and moderate income individuals, to repeal the individual alternative minimum tax, to reform the corporate income tax, and for other purposes." HR 556 ENR, "Foreign Investment and National Security Act of 2007." Trade issues between the United States and Switzerland.
Issues relating to 401(k) Plan Fee Disclosures. Issues relating to hedge funds and private equity governance. Addressed SEC with respect to proposal to eliminate the requirement to reconcile financial statements with US GAAP.
Filing targets: Executive Office of the President (EOP), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
S 1624/ HR 2785, "To amend the Internal Revenue Code of 1986 to provide that the exception from the treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment...
S 190, "To provide a technical correction to the Pension Protection Act of 2006."
Addressed proposed Treasury Reg. 133254-02 on reporting of deposit interest paid to non-resident aliens. HR 698, " Industrial Bank Holding Company Act of 2007." HR 948, "Social Security Number Protection Act," HR 958, "Data Accountability and Trust Act," HR 3046, "Social Security Number Privacy and Identity Theft Prevention Act," S 1260, "Data Security Act of 2007,"
HR 1427, "Federal Housing Finance Reform Act;" HR 3012, "Fair Mortgage Practices Act of 2007;" S 1299, "Borrower's Protection Act;" U.S. Sanctions policy- consulted with staff from Treasury, SEC and Capitol Hill regarding U.S. sanctions policy; HR 1527, "Shareholder Vote Executive Compensation Act." S. 1348, "Comprehensive Immigration Reform Act of 2007"
Filing targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)
HR 1638, "Commodities Exchange Improvements Act of 2005"; Addressed SEC with respect to implementation and timetable of rulemaking involving Rule 202 of the Investment Advisors Act.
HR 5585, "Financial Netting Improvement Act of 2006"
HR 5337, "Reform of National Security Review of Foreign Direct Investment Act"; S 2333, "Foreign Investment Security Improvement Act of 2006"; Trade issues between the United States and Switzerland, the United States and Turkey and the Untied States and Korea.
HR 2830, " Pension Protection Act"; S 1783," Pension Security and Transparency Act"; HR 1960 and HR 1961, "Pension Preservation and Savings Expansion Act."
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)
HR 1638, "Commodities Exchange Improvements Act of 2005"; Addressed Securities and Exchange Commission with respect to implementation and timetable of rulemaking involving Rule 202 of the Investment Advisors Act.
HR 2830, "Pension Protection Act"; S 1783, "Pension Security and Transparency Act"; HR 1960 and HR 1961, "Pension Preservation and Savings Expansion Act."
HR 4297, "Tax Relief Extension Act of 2005"; HR 3768 and S 1696, "Hurricane Tax Relief and Assistance Legislation"; HR 4440, "Katrina Emergency Tax Releif Act."
HR 1185, "Federal Deposit Insurance Reform Act of 2005" (deposit insurance caps); HR 1224, "Business Checking Freedom Act of 2005"; HR 1295 Responsible Lending Act of 2005" and HR 1182, "Prohibit Predatory Lending Act" (secondary market liability); Addressed proposed Treasury Regulation 133254-02, Reporting of Deposit Interest Paid to Nonresident Aliens; Addressed issues relating to currency exchange programs; Data Security Legislation (HR 3376, HR 3575, HR 3997, HR 3160, HR 6127, S 1332, S 1789); Regulatory Relief Legislation (HR 3505 and S2856, S. 751)
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Trade Representative (USTR)
HR 522 Federal Deposit Insurance Reform Act of 2003 (deposit insurance caps); S. 229, Safe and Fair Deposit Insurance Act of 2003; HR 758 Business Checking Freedom Act of 2003; S. 1967, Interest on Business Checking Act of 2003; Proposed Treasury Rule Requiring US banks to report the interest income of non-resident alien accounts in the US.
S 1637, Jump Start our Business Strength Act (earning stripping, tobacco buyout and repatriation of dividends from the foreign earnings of US Companies and Title IV provisions designed to curtail tax shelters.); HR 2896, American Jobs Creation Act of 2003 (earning stripping, etc. as noted in companion S bill 1637) now renamed as HR 4520, American Jobs Creation Act of 2004.
HR 1776 Pension Preservation and Savings Expansion Act of 2003 (pension reform).
HR 975 Bankruptcy Abuse Prevention and Consumer Protection Act of 2003 (credit cards).
S 1072 Safe, Accountable, Flexible and Efficient Transportation Equity Act of 2003 (new bonding authority).
Filing targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, White House Office
S1072 Safe, Accountable, Flexible and Efficient Transportation Equity Act of 2003
HR2575 Secondary Mortgage Market Enterprises REgulatory Improvement Act (monitoring only)
HR 1375 Financial Services Regulatory Relief Act of 2003 (industrial loan corps); HR 2420 Mutual Funds Integrity and Fee Transparency Act of 2003 (mutual fund corporate governance)
HR1206 Prohibition on United Nations Taxation Act of 2003 (reporting of deposit income of non-resident aliens); HR2 Jobs and Growth Act of 2003 (dividend taxation); S2 Jobs and Growth Act of 2003 (dividend taxation); S1637 Jump Start our Business Strength Act (earnings stripping and repatriation of dividends earned in foreign Cos.); HR 2896 American Jobs Creation Act of 2003 (earnings stripping)
Filing targets: Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of, Vice President of the U.S., White House Office