ms MONIQUE MICHEL

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

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

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

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

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

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10 PL 111-203 Federal Resrve Notice 75 FR 72741 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of PL 111-203 prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the PL 111-203, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

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

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

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

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

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

Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10

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

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

Proposed rule changes of ATS Release No. 34-60997; File No. S7-27-09 Proposed amendments to Reg SHO Release no. 34-59748, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 Investment Advisors Act Release No. IA - 2876, File # S7-09-09 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- Dodd Frank Wall Street Reform and Consumer Protection Act No. 34-62717; File No. S7-16-10

HR 4173 - Dodd Frank Wall Street Reform and Consumer Protection Act & implementation of PL 111-203- Title I Financial Stability Oversight Council

S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits

S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)

S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009

H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to regulation ATS Implementation of Public Private Investment Program SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers

Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits

Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits