id,filing_uuid,filing_type,registrant_name,registrant_id,client_name,filing_year,filing_period,issue_code,specific_issues,government_entities,income_amount,expense_amount,is_no_activity,is_termination,received_date
1293924,ed63d53c-5eaa-44bd-90cb-6d18ab81a9f2,3T,"KSCW, INC.",21596,CMFG LIFE INSURANCE COMPANY,2012,third_quarter,FIN,"Implimentation of Dodd-Frank Wall Street Reform and Consumer Protection Act: Restoring American Financial Stability Act of 2010- specifically rule making as it regulates credit insurance
Multiopenend lending","Agriculture, Dept of (USDA),HOUSE OF REPRESENTATIVES,Risk Management Agency,SENATE",40000,,0,1,2012-09-04T15:11:56.757000-04:00
1293931,75101b73-c897-4584-a430-1cdee0b524c8,3T,"KSCW, INC.",21596,"FITCH, INC.",2012,third_quarter,FIN,"Implimentation of the Dodd-Frank Wall Street Reform and Consumer Protection Act- Rules related to the credit ratings industry

Legislation pertaining to the Credit Ratings Industry","HOUSE OF REPRESENTATIVES,SENATE",40000,,0,1,2012-09-04T15:28:00.427000-04:00
1294090,25b36a87-dc00-4e0a-8acc-194fbedbc9a7,3T,MS. REGINA E MAHONY,400947740,PARTNERSHIP TO PROTECT CONSUMER CREDIT D/B/A ELECTRONIC PAYMENTS COALITION,2012,third_quarter,FIN,Issues related to interchange legislation and litigation.,"HOUSE OF REPRESENTATIVES,SENATE",10000,,0,1,2012-09-16T16:15:06.833000-04:00
1294477,2250fca7-6552-48f1-a969-3770107f5341,3T,FIRST HORIZON NATIONAL CORPORATION,400639931,FIRST HORIZON NATIONAL CORPORATION,2012,third_quarter,FIN,"Basel III related issues.

Monitor Financial Reform issues generally.",HOUSE OF REPRESENTATIVES,,60000,0,1,2012-09-26T10:17:11.857000-04:00
1294485,f86ea8c0-68c6-43e1-82a9-a1807f79dde2,Q3,"MCMURRAY STRATEGY GROUP, LLC",400339575,THE AGILE FUNDS INVESTOR COMMITTEE,2012,third_quarter,FIN,"Monitored and discussed HR 757 Equitable Treatment of Investors Act  which would amend the Securities Investor Protection Act of 1970 to revise the definition of ""net equity.""",HOUSE OF REPRESENTATIVES,,,0,0,2012-09-26T13:54:25.273000-04:00
1294487,ee62e69e-c4de-41d2-bcc0-425cbd6b97f2,Q3,KATE MOSS,25988,MORGAN STANLEY,2012,third_quarter,FIN,Implementation of Dodd/Frank,"HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-09-26T14:05:29.273000-04:00
1294650,2a02ab5c-af39-4243-bf75-6ab0f748c610,Q3,JOHN SATAGAJ,23064,NATIONAL HOME FURNISHINGS ASSOCIATION,2012,third_quarter,FIN,"Consumer Credit, Swipe Fees","Consumer Product Safety Commission (CPSC),Federal Reserve System,HOUSE OF REPRESENTATIVES,Interior, Dept of (DOI),Internal Revenue Service (IRS),SENATE,Transportation, Dept of (DOT),Treasury, Dept of,White House Office",,,0,0,2012-10-01T08:39:58.690000-04:00
1294750,7dbf1f75-1dc9-4a1d-a854-5035f2c420f5,Q3,"CYBER SECURITY RESEARCH CONSULTANTS, LLC",91694,THE LIVINGSTON GROUP (ON BEHALF OF U.S. CHAMBER OF COMMERCE),2012,third_quarter,FIN,FY 13 Financial Services Act,HOUSE OF REPRESENTATIVES,10000,,0,0,2012-10-01T11:55:41.320000-04:00
1294751,54d7ebeb-2bf3-4107-8b71-0d8e3f9f00ba,Q3,"CYBER SECURITY RESEARCH CONSULTANTS, LLC",91694,U.S. CHAMBER OF COMMERCE,2012,third_quarter,FIN,FY 13 Financial Services Appropriation Act,HOUSE OF REPRESENTATIVES,18000,,0,0,2012-10-01T12:00:42.173000-04:00
1294770,84f1a18d-52c9-49aa-909f-b00ab2a7b257,Q3,RICH FEUER ANDERSON,84775,BARCLAYS PLC,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including extraterritorial application (HR 3283, the ""Swaps Jurisdiction Certainty Act""), regulation of proprietary trading and management of private funds, and capital and margin requirements.","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-01T13:06:53.143000-04:00
1294780,6c443204-4267-418d-ac37-5eb8f8c89a47,Q3,RICH FEUER ANDERSON,84775,BLACKROCK FUNDS SERVICES GROUP LLC (FORMERLY BLACKROCK CAPITAL MANAGEMENT INC.),2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,""  including protection of customer margin assets, definition of ""major swap participant,"" regulation of proprietary trading and management of and reporting by private funds.  Regulation of asset managers as systemically important financial institutions.  Regulation of money market funds and exchange-traded funds.","HOUSE OF REPRESENTATIVES,Office of the Comptroller of the Currency (OCC),SENATE",70000,,0,0,2012-10-01T13:28:00.147000-04:00
1294809,1bef256d-f687-4ff1-9d5b-ee12843fe61c,Q3,RICH FEUER ANDERSON,84775,CHICAGO BOARD OPTIONS EXCHANGE,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including regulation of derivatives.","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-01T14:55:22.797000-04:00
1294824,5137cf6f-8a2b-498f-973e-8af82f308eb5,Q3,HEDGE FUND ASSOCIATION,400459257,HEDGE FUND ASSOCIATION,2012,third_quarter,FIN,JOBS Act comments,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2012-10-01T15:26:35-04:00
1294841,ce8570bd-f958-4ce5-b9f8-3bb20607e521,Q3,RICH FEUER ANDERSON,84775,"FINANCIAL INDUSTRY REGULATORY AUTHORITY (""FINRA"" FORMERLY NASD)",2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including regulation of broker-dealers and harmonziation of regulation of broker-dealers and investment advisors (including HR 4624, the ""Investment Adviser Oversight Act of 2012"").    Investor protection and investor education initiatives.","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-01T16:03:40.213000-04:00
1294843,34269f70-e903-49ec-b9e4-f9a812fb4d63,Q3,RICH FEUER ANDERSON,84775,CITIGROUP MANAGEMENT CORPORATION,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including extraterritorial application, regulation of proprietary trading, and acting as swap dealer (HR 3283, the ""Swaps Jurisdiction Certainty Act;"" and HR 1838).","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-01T16:05:41.227000-04:00
1294844,fbb6185f-4e27-4f62-98f2-62511e773a8f,Q3,RICH FEUER ANDERSON,84775,THE CLEARING HOUSE PAYMENTS COMPANY L.L.C.,2012,third_quarter,FIN,"Capital requirements and liquidity requirements for financial institutions.  Regulatory issues related to payment systems, including mobile payments.","HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2012-10-01T16:10:42.033000-04:00
1295059,de0a9670-7ef7-4038-b09e-5526fad2456c,Q3,NATIONAL COOPERATIVE SERVICES CORPORATION,400848499,NATIONAL COOPERATIVE SERVICES CORPORATION,2012,third_quarter,FIN,Clarification of the authority of the Federal Home Loan Bank to purchase certain securities from CFC,"Agriculture, Dept of (USDA),Commodity Futures Trading Commission (CFTC),Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,SENATE",,50000,0,0,2012-10-02T16:10:59.337000-04:00
1295065,49461ab1-caac-4a10-b087-8ada3cc3f217,Q3,NATIONAL COOPERATIVE SERVICES CORPORATION,400848499,NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORPORATION (CFC),2012,third_quarter,FIN,Clarification of the authority of the Federal Home Loan Bank to purchase certain securities from CFC,"Agriculture, Dept of (USDA),Commodity Futures Trading Commission (CFTC),Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2012-10-02T16:22:08.227000-04:00
1295102,68b7ce88-8983-4c65-b412-eb095a7da3ce,3A,FORD MOTOR COMPANY,15133,FORD MOTOR COMPANY,2012,third_quarter,FIN,"PL 111-203: Dodd-Frank Wall Street Reform and Consumer Protection Act
Dodd Frank Act's Business Conduct Standards for pension plans' use of derivatives
H.R. 1539: The Asset-Backed Market Stabilization Act of 2011
H.R. 2682: The Business Risk Mitigation and Price Stabilization Act of 2011","Commodity Futures Trading Commission (CFTC),Energy, Dept of,Environmental Protection Agency (EPA),Export-Import Bank of the United States (EXIM Bank),Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,Labor, Dept of (DOL),Pension Benefit Guaranty Corporation (PBGC),Securities & Exchange Commission (SEC),SENATE,Surface Transportation Board (STB),Transportation, Dept of (DOT),Treasury, Dept of,U.S. Trade Representative (USTR),White House Office",,1710000,0,0,2012-10-03T10:39:30.083000-04:00
1295179,2aac735b-2bf8-4995-8825-86b450bf8407,Q3,"PUBLIC AFFAIRS RESOURCES, INC.",31270,PACKAGING CORPORATION OF AMERICA (PCA) (BOISE INC IS NOW A SUBSIDIARY OF PCA ),2012,third_quarter,FIN,Fees for Paper Statements,"Agriculture, Dept of (USDA),HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-03T13:19:22.160000-04:00
1295408,f706c0f1-4049-4b6b-8422-2c17cefacc83,Q3,OLSON ADVOCACY GROUP LLC,400833471,POTOMAC PARTNERS LLC ON BEHALF OF COMPLIANCE MANAGEMENT SERVICES LLC,2012,third_quarter,FIN,SAFE Act Implementation,"HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",20000,,0,0,2012-10-04T14:36:25.437000-04:00
1295419,d10eff5d-ed39-473c-828e-e09c7dca8118,Q3,RICH FEUER ANDERSON,84775,WELLINGTON MANAGEMENT CO LLP,2012,third_quarter,FIN,"Regulation of asset managers, including implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.""","HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2012-10-04T14:48:31.077000-04:00
1295435,92dc9bc6-6cf7-4b46-a97e-d5fb58d0da1a,Q3,RICH FEUER ANDERSON,84775,LCH.CLEARNET GROUP LIMITED,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including regulation of derivative instruments, regulation and ownership of clearinghouses, protection of customer assets and extraterritorial application (HR 3283, the ""Swaps Jurisdiction Certainty Act"").","HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",60000,,0,0,2012-10-04T15:20:38.057000-04:00
1295441,2dfde983-4a83-4d32-8b47-670ffafaed0d,Q3,RICH FEUER ANDERSON,84775,"FX ALLIANCE, LLC",2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including operation and governance of swap execution facilities and HR 2586, the ""Swap Execution Facility Clarification Act.""","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-04T15:28:41.467000-04:00
1295443,0bd68dc7-5e1c-44df-b697-b6350803c577,Q3,RICH FEUER ANDERSON,84775,LPL FINANCIAL CORPORATION,2012,third_quarter,FIN,"Regulation of investment advisors.  Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including regulation of broker-dealers and harmonziation of regulation of broker-dealers and investment advisors (including HR 4624, the ""Investment Adviser Oversight Act of 2012"").  Definition of ""fiduciary"" under ERISA and application to providers of brokerage services.","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-04T16:10:43.057000-04:00
1295452,0a0bebd7-1325-4bcf-8b65-c97a4ee30e35,Q3,RICH FEUER ANDERSON,84775,GENWORTH FINANCIAL INC,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including the securitization risk retention provisions.","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-04T16:33:49.560000-04:00
1295457,b819e93c-b3c9-4e9e-adcb-06d10ba2fd83,Q3,RICH FEUER ANDERSON,84775,NOMURA AMERICA HOLDING INC.,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including Title VII regulation of derivatives, including capital requirements and extraterritorial application (H.R. 3283, the ""Swap Jurisdiction Certainty Act"").","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,SENATE",10000,,0,0,2012-10-04T16:46:52.640000-04:00
1295463,5aceaa98-0f94-4223-bcfe-0617701498e4,Q3,RICH FEUER ANDERSON,84775,PRICEWATERHOUSECOOPERS LLP,2012,third_quarter,FIN,"Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.""","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-04T18:45:58.890000-04:00
1295499,b38293dd-90df-46e8-9f44-863adc808737,Q3,RICH FEUER ANDERSON,84775,"SWIFT, INC.",2012,third_quarter,FIN,"Imposition of sanctions on providers of financial messaging services to institutions in Iran, including H.R. 1905, the ""Iran Threat Reduction and Syria Human Rights Act of 2012.""  Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including regulation of remittances and swap data reporting identifiers.","HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-05T11:36:53.137000-04:00
1295511,bba56a46-ba8c-46a2-b945-258ac973ae46,Q3,RICH FEUER ANDERSON,84775,KCG HOLDINGS INC (FORMERLY KNOWN AS GETCO HOLDING COMPANY LLC),2012,third_quarter,FIN,"Regulations affecting electronic trading of securities, including market structure issues.  Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including Title VII regulation of derivatives.","HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",50000,,0,0,2012-10-05T11:53:58.633000-04:00
1295514,61522e24-5ada-4768-8561-acdba736084d,Q3,RICH FEUER ANDERSON,84775,INTERACTIVE DATA CORPORATION,2012,third_quarter,FIN,"Regulation of securities market structure and securities trading, including provision of market data and disclosure of municipal securities transactions.  Implementation of the ""Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010,"" including reporting of swaps transactions and standardization of data.  Regulation of electronic trading.","Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2012-10-05T11:56:00.083000-04:00
1295569,bee5399b-c9df-443d-9296-1eaa85ee4ecc,Q3,DEMOTECH,400720167,DEMOTECH,2012,third_quarter,FIN,Financial Strength Ratings,,,,0,0,2012-10-05T14:09:25.520000-04:00
1295648,8c479515-6ff5-4c26-9d7e-105848f23aa0,Q3,MULTIPLE  STRATEGIES LLC,318254,AXA SA,2012,third_quarter,FIN,Holocaust Reparations Legislation,"HOUSE OF REPRESENTATIVES,SENATE",60000,,0,0,2012-10-06T09:20:15.380000-04:00
1295650,8e9c68c5-e9e0-4c5d-9d2c-025254ef7080,Q3,MULTIPLE  STRATEGIES LLC,318254,INVESTMENT COMPANY INSTITUTE,2012,third_quarter,FIN,"mutual fund issues
retirement security issues","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-06T09:30:16.667000-04:00
1295754,3e37c10b-730a-4913-850c-5d84ba16a3b7,Q3,"CAPITOL RESOURCES, LLC",53174,ANGELLIST,2012,third_quarter,FIN,Finance,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-08T11:35:00.163000-04:00
1295802,a3fbdfdc-beb8-45ad-a3bd-96d557f8fb36,Q3,HOLLAND & KNIGHT LLP,18466,AMSCOT FINANCIAL CORPORATION,2012,third_quarter,FIN,Legislation and policies affecting financial services; including pay day advances and check cashing.,"HOUSE OF REPRESENTATIVES,SENATE",80000,,0,0,2012-10-08T13:46:28.887000-04:00
1295810,9e23a539-5980-4bae-9f8b-8de3b5c76f5c,Q3,HOLLAND & KNIGHT LLP,18466,DEPOSITORY TRUST & CLEARING CORPORATION,2012,third_quarter,FIN,"Briefed and educated Congressional offices on the role of clearance and settlement of securities transactions, the centralized collection of data relating to credit default swaps in US financial markets, and its impact on the transparency of such markets. Discussion of these issues also included harmonization of the Dodd-Frank regulations with EU regulations. HR 4235, Swap Data Repository and Clearinghouse Indemnification Correction Act of 2012 and related issues; cybersecurity","HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2012-10-08T13:59:33.170000-04:00
1295832,76896fcc-be26-461f-b4a1-a82c911eef85,3A,HOLLAND & KNIGHT LLP,18466,AMSCOT FINANCIAL CORPORATION,2012,third_quarter,FIN,Legislation and policies affecting financial services; including pay day advances and check cashing.,"HOUSE OF REPRESENTATIVES,SENATE",80000,,0,0,2012-10-08T14:33:45.770000-04:00
1295868,714dbaea-b4af-4d7b-be47-2fab48eefcdc,Q3,"BECKER & POLIAKOFF, P.A.",283696,MARSHA PESHKIN,2012,third_quarter,FIN,"Helen Davis Chaitman has worked, entirely on a pro bono basis, to obtain tax and SIPA relief for victims of Bernard L. Madoff Investment Securities, LLC","HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2012-10-08T15:21:04.497000-04:00
1296056,fa82c231-bd9e-4463-995a-2cbf90cefa4e,Q3,"CORNERSTONE GOVERNMENT AFFAIRS, INC.",75557,VISA,2012,third_quarter,FIN,Electronic payments,"Homeland Security, Dept of (DHS),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",60000,,0,0,2012-10-09T13:15:44.823000-04:00
1296146,c1f7de96-9260-4096-ad2e-73b6f88897ce,Q3,VENABLE LLP,39941,FINANCIAL EDUCATION AND COUNSELING ALLIANCE,2012,third_quarter,FIN,Legislative issues pertaining to financial counseling.,"Federal Reserve System,HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),SENATE,Treasury, Dept of",20000,,0,0,2012-10-09T15:50:26.513000-04:00
1296150,1627af1b-3a1d-4895-a0d5-b6bc18e0cc2b,Q3,VENABLE LLP,39941,NAVY MUTUAL AID ASSOCIATION,2012,third_quarter,FIN,S. 486 - Protecting Servicemembers From Mortgage Abuse Act of 2011,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2012-10-09T15:53:28.683000-04:00
1296153,ff52c898-e37b-43e8-a45e-34c45cd7e30a,Q3,VENABLE LLP,39941,VANTAGESCORE SOLUTIONS LLC,2012,third_quarter,FIN,"H.R. 321 - Equal Employment For All Act
H.R. 769 - Fair Access to Credit Scores Act of 2011","Federal Deposit Insurance Corporation (FDIC),Federal Housing Finance Agency (FHFA),Federal Reserve System,HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Office of the Comptroller of the Currency (OCC),Office of Thrift Supervision (OTS),SENATE",60000,,0,0,2012-10-09T15:58:30.617000-04:00
1296226,6d047ef2-4015-408a-a774-50d208cdaf83,Q3,BLANK ROME GOVERNMENT RELATIONS,6325,PRUDENTIAL FINANCIAL INC,2012,third_quarter,FIN,Issues related to implementation of Dodd-Frank Wall Street Reform and Consumer Protection Act.,"HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2012-10-10T10:15:13.747000-04:00
1296337,d6b78328-e857-428f-b98a-d71fa898cb1b,Q3,EATON CORPORATION,302698,EATON CORPORATION,2012,third_quarter,FIN,"Implementing regulations for Dodd Frank
HR 2779 Exempting Inter affiliate swaps from Dodd Frank
HR 2862 Business Risk Mitigation and Stabilization Act
S 1650  Dodd Frank Improvement Act","Energy, Dept of,Environmental Protection Agency (EPA),HOUSE OF REPRESENTATIVES,Natl Highway Traffic Safety Administration (NHTSA),Securities & Exchange Commission (SEC),SENATE,U.S. International Trade Commission (ITC),Veterans Affairs, Dept of (VA)",,170000,0,0,2012-10-10T10:53:58.030000-04:00
1296402,3c4bc0a9-5d91-430d-a1a2-3b731e8e49d5,Q3,THE AMERICAN PUBLIC GAS ASSOCIATION,74077,AMERICAN PUBLIC GAS ASSOCIATION,2012,third_quarter,FIN,APGA has pushed for the passage of legislation and rulemakings that would increase natural gas market transparency and provide the CFTC with the resources needed to ensure appropriate level of market oversight. APGA has also opposed legislation/regulations that would require public gas systems to post margin for the over-the-counter derivatives.,"Commodity Futures Trading Commission (CFTC),Energy, Dept of,Federal Energy Regulatory Commission (FERC),HOUSE OF REPRESENTATIVES,SENATE",,30000,0,0,2012-10-10T12:42:28.950000-04:00
1296426,34f097ba-0b07-4031-88a4-4e8f27d50647,Q3,CREDIT SUISSE SECURITIES (USA),62596,CREDIT SUISSE SECURITIES (USA),2012,third_quarter,FIN,"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","Commodity Futures Trading Commission (CFTC),Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Natl Economic Council (NEC),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,320000,0,0,2012-10-10T13:26:38.947000-04:00
1296587,f4c9efaf-aa9e-43f7-a2a3-fc7c641cbf59,Q3,CAPITOL HILL CONSULTING GROUP,72053,SECURE ID COALITION,2012,third_quarter,FIN,Cybersecurity; Financial Payments,"HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-10-10T14:45:52.477000-04:00
1296669,716fc91d-6579-456e-abba-c8a3d1ff0789,Q3,CAPITOL HILL CONSULTING GROUP,72053,"POPULUS FINANCIAL GROUP, INC. (FORMERLY ACE CASH EXPRESS, INC.)",2012,third_quarter,FIN,General financial issues and issues pertaining to the company,"HOUSE OF REPRESENTATIVES,SENATE",16000,,0,0,2012-10-10T16:29:26.540000-04:00
1296822,05f49e69-ac70-44d9-b86e-f0e255ea7c27,Q3,EMERSON,13506,EMERSON,2012,third_quarter,FIN,"Burdensome Data Collection Relief Act, H.R. 1062","Federal Reserve System,HOUSE OF REPRESENTATIVES,Office of the Vice President of the United States,SENATE,Treasury, Dept of",,232400,0,0,2012-10-11T10:04:41.143000-04:00
1297061,586d0b16-910f-4811-ab1e-699886b9cc27,Q3,AZOA SERVICES CORP(ALLIANZ OF AMERICA) FORMERLY AZOA SERIVCES CORP/FIREMAN'S FUND(ALLIANZ OF AMERICA,14611,AZOA SERVICES CORP(ALLIANZ OF AMERICA) AND AFFILIATES,2012,third_quarter,FIN,"Derivatives:  Monitor new rules and changes of regulation for derivatives and commodity indexed funds and activity within Congress, especially in the context of H.R. 4173, the Wall Street Reform and Consumer Protection Act and implementation by the CFTC.  Systemic Risk:  Argue that asset managers should not be designated as systemically important financial institutions under sec. 113 of Dodd-Frank.  Also track international developments regarding systemic risk designation. Consumer Financial Protection Bureau:  Monitor inclusion of this new agency in H.R. 4173, the Wall Street Reform and Consumer Protection Act and its implementation.

Target Date Funds:  Monitor possible legislation and SEC as well as Department of Labor regulatory activities.

SEC and Money Markets:  Monitor and see proposed SEC regulations.

Mutual Funds:  Advocate for the ability to defer annual capital gains taxation of dividends that are reinvested in mutual funds.  Lobby in favor of H.R. 4623, to  make permanent rules related to investment by nonresident aliens in domestic Mutual Funds.

Fiduciary Duty:  Monitor the SEC's efforts to establish a uniform fiduciary duty standard of investment advisers and broker-dealers.  Monitor the DOL's efforts to change the fiduciary standard under ERISA.

Whistleblower Program:  Monitor and oppose SEC rulemaking implementing a provision in the Dodd-Frank Act that creates a new Whistleblower program with the agency.

CFTC:  Argue against rule that would impose position limits on commodity index mutual funds.","HOUSE OF REPRESENTATIVES,Risk Management Agency,Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,560000,0,0,2012-10-11T14:33:13.420000-04:00
1297120,0cc6fb51-ebce-493f-8873-684cb5ef6183,Q3,"BATES CAPITOL GROUP, INC.",400656969,U.S. CHAMBER OF COMMERCE INSTITUTE FOR LEGAL REFORM,2012,third_quarter,FIN,"Help ensure rationality, fairness and more certainty in the legal system. Monitor and oversight of studies mandated in section 929Z and 929Y of the Dodd/Frank Wall Street Reform and Consumer Protection Act. Monitor and oversight of SEC's handling of disclosure rules re: litigation-related loss contingencies. Support H.R.5, Help Efficient, Accessible, Low-cost, Timely, Healthcare Act of 2011. Oppose Arbitration Fairness Act (S.987, H.R.187 Consumer Mobile Fairness Act (S.623 H.R.592). Support Lawsuit Abuse Reduction Act (H.R.966, S.533.)","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-10-11T15:08:52.427000-04:00
1297186,577012af-fc50-4173-aff5-3dce161de5b4,Q3,"DUTKO WORLDWIDE, LLC",12868,CITGO PETROLEUM CORPORATION,2012,third_quarter,FIN,"Monitor potential derivatives-related modifications to Dodd-Frank Act (Wall Street Reform and Consumer Protection Act of 2009), including H.R. 1573 and the Business Risk Mitigation and Price Stabilization Act of 2011 (H.R. 1610).","Army, Dept of (Corps of Engineers),Energy, Dept of,Environmental Protection Agency (EPA),Executive Office of the President (EOP),HOUSE OF REPRESENTATIVES,Justice, Dept of (DOJ),Office of Management & Budget (OMB),SENATE,Transportation, Dept of (DOT)",100000,,0,0,2012-10-11T15:50:09.470000-04:00
1297261,55fc5748-04a3-412d-ba05-dc19d82b01a8,Q3,AMERICAN LAND TITLE ASSOCIATION,2731,AMERICAN LAND TITLE ASSOCIATION,2012,third_quarter,FIN,"Implementation of Section 1032 of PL 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, provisions related
to combining mortgage disclosure provisions under Real Estate Settlement Procedures Act (RESPA) and Truth in Lending Act
(TILA). Implementation of Section 941 of PL 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, provisions
related to Qualified Residential Mortgages (QRM). Contacted Consumer Financial Protection Bureau. Implementation of Sections 1411, 1412 and 1413 of PL 111-203, Dodd-Frank Wall Street Reform and Consumer Protection
Act, provisions related to ability to repay standard and qualified mortgage safe harbor. H.R. 4323, Consumer Mortgage Choice
Act, a bill to amend the Truth in Lending Act with respect to the definitions provided for points and fees in connection with a
mortgage transaction. HR 940, United States Covered Bond Act, to establish standards for covered bond programs and a covered
bond regulatory oversight program; entire bill. HR 1182, GSE Bailout Elimination and Taxpayer Protection Act, to establish a
term certain for the conservatorships of Fannie Mae and Freddie Mac, to provide conditions for continued operation of such
enterprises, and to provide for the wind down of such operations and the dissolution of such enterprises; entire bill. HR 1222,
GSE Subsidy Elimination Act, a bill to increase the guarantee fees charged by Fannie Mae and Freddie Mac with respect to
mortgage-backed securities guaranteed by such enterprises; entire bill. HR 1223, GSE Credit Risk Equitable Treatment Act, a
bill to amend the Securities Exchange Act of 1934 to ensure mortgages held or securitized by Fannie Mae and Freddie Mac and
asset-backed securities issued by such enterprises are treated similarly as other mortgages and asset-backed securities for
purposes of the credit risk retention requirements under such Act; entire bill. HR 1859, Housing Finance Reform Act, to ensure
the availability of reasonably priced conventional mortgages to borrowers in all economic cycles by encouraging private sector
capital support the secondary mortgage market, limiting the role of the Federal government and the exposure to taxpayers; entire
bill. HR 2413, Secondary Market Facility for Residential Mortgages Act, to establish a sustainable Federal Secondary Market
Facility for Residential Mortgages that is financed by private capital, to terminate the conservatorships of Fannie Mae and
Freddie Mac and repeal the charter Acts of such enterprises, and for other purposes; entire bill. S.1963, Mortgage Finance Act of 2011, a bill to establish a Mortgage Finance Agency, which shall be an independent agency of the Federal Government; entire
bill. S. 1834, Residential Mortgage Market Privatization and Standardization Act of 2011, a bill to restore and repair the United
States mortgage markets by making them transparent, bringing in private capital, winding down the Government-sponsored
enterprises, and for other purposes; entire bill. General education regarding Consumer Financial Protection Bureau's
supervision of mortgage servicing. General education regarding the Federal Reserve's white paper entitled, ""The U.S. Housing
Market: Current Conditions and Policy Considerations."" S. 3085, the Responsible Homeowner Refinancing Act, a bill to
provide for the expansion of affordable refinancing of mortgages held by the Federal National Mortgage Association and the
Federal Home Loan Mortgage Corporation; entire bill.  General education regarding the Consumer Financial Protection Bureau's Bulletin 2012-03, regarding service provider relationships with financial institutions under the Bureau's supervision. Proposed Rule RIN 3170-AA19 (Integrated Mortgage Disclosures Under the Real Estate Settlement Procedures Act (Regulation X) and the Truth In Lending Act (Regulation Z)).  Proposed Rule RIN 3170-AA12 (High-Cost Mortgage and Homeownership Counseling Amenedments to the Truth in Lending Act (Regulation Z) and Homeownership Counseling Amendments to the Real Estate Settlement Procedures Act (Regulation X).  Proposed Rule RIN 3170-AA14 (2012 Truth in Lending Act (Regulation Z) Mortgage Servicing.  Proposed Rule RIN 3170-AA14 (2012 Real Estate Settlement Procedures Act (Regulation X) Mortgage Service Proposal.","Federal Deposit Insurance Corporation (FDIC),Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Internal Revenue Service (IRS),Office of Management & Budget (OMB),Office of the Comptroller of the Currency (OCC),Office of Thrift Supervision (OTS),Securities & Exchange Commission (SEC),SENATE,Small Business Administration (SBA),Treasury, Dept of",,140000,0,0,2012-10-11T17:06:46.613000-04:00
1297265,42afad34-83ef-4338-bb5f-0ef30f42323c,Q3,EQUIPMENT LEASING AND FINANCE ASSOCIATION,13767,EQUIPMENT LEASING AND FINANCE ASSOCIATION,2012,third_quarter,FIN,Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (P.L. 111-203): Section 1071 ECOA data collection,"Federal Aviation Administration (FAA),HOUSE OF REPRESENTATIVES,SENATE",,190000,0,0,2012-10-11T17:07:48.113000-04:00
1297534,015dfbda-1749-4a1b-9d58-6874d42867c7,Q3,"SMITH, COSTELLO & CRAWFORD",35742,INVESTMENT COMPANY INSTITUTE,2012,third_quarter,FIN,Mutual Fund Issues,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-12T10:59:38.133000-04:00
1297545,63780c0d-c00d-46bf-9acf-46d6be0b05fe,Q3,EASTMAN CHEMICAL COMPANY,13005,EASTMAN CHEMICAL COMPANY,2012,third_quarter,FIN,Money Market Regulation,"HOUSE OF REPRESENTATIVES,SENATE",,420000,0,0,2012-10-12T11:02:41.643000-04:00
1297686,4fa290fe-38c1-435e-94a2-af65d4fe897b,Q3,LOWE'S COMPANIES INC.,312678,LOWE'S COMPANIES INC.,2012,third_quarter,FIN,"Relating to conflict minerals provisions in Dodd-Frank Financial Services Reform Act of 2010 and sourcing from the Dem. Republic of the Congo; SEC definitions of manufacturer, contract to manufacture","HOUSE OF REPRESENTATIVES,SENATE",,80000,0,0,2012-10-12T12:08:26.757000-04:00
1297752,7067d2ba-06ea-4e06-a24e-7c2c2aa3a188,Q3,ASSOCIATION FOR FINANCIAL PROFESSIONALS,38437,ASSOCIATION FOR FINANCIAL PROFESSIONALS,2012,third_quarter,FIN,"Accounting Reforms, Credit Rating Agency Reform, Commodities Exchange Act/Derivatives Reform,  Hard to Value Assets, Market-to-Market Accounting Reform, Money Market Fund Reform, Foreign Exchange, Dodd-Frank","Commodity Futures Trading Commission (CFTC),Executive Office of the President (EOP),Federal Accounting Standards Advisory Board (FASAB),Federal Deposit Insurance Corporation (FDIC),Federal Reserve System,Federal Trade Commission (FTC),Government Accountability Office (GAO),HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Justice, Dept of (DOJ),Labor, Dept of (DOL),Natl Economic Council (NEC),Pension Benefit Guaranty Corporation (PBGC),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,6250,0,0,2012-10-12T13:22:43.403000-04:00
1297806,c74e6680-a054-4cfe-bb6e-340ccaf0eaa0,Q3,FAIR ISAAC CORPORATION (DBA FICO),400612859,FAIR ISAAC CORPORATION (DBA FICO),2012,third_quarter,FIN,"Implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub.L. 111-203), specifically, Title IX, Section 941, Regulation of Credit Risk Retention;
H.R. 6363, Credit Access and Inclusion Act, relating to alternative data;
Issues related to credit scoring, including free scores and small business scores","HOUSE OF REPRESENTATIVES,SENATE",,80000,0,0,2012-10-12T14:02:09.403000-04:00
1297882,ffed4daa-7711-4d08-a99f-f2418b02a36c,Q3,"LAWRENCE J. ROMANS & ASSOCIATES, LLC",61072,PRUDENTIAL FINANCIAL,2012,third_quarter,FIN,"HR 3559, Insurance Data Protection Act; HR 3045, Retirement Income Protection Act; HR 2779, to exempt inter-affiliate swaps from certain regulatory requirements put in place by Dodd Frank Wall Street Reform and Consumer Protection Act; Regulations on capital standards for nondepository institutions","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-10-12T15:06:42.017000-04:00
1297990,69bdcd6b-95cb-4d80-a49c-99f92e2b665c,Q3,"CONFRERE STRATEGIES, LLC",40025211,NATIONAL ASSOCIATION OF MUTUAL INSURANCE COMPANIES,2012,third_quarter,FIN,"Dodd-Frank Wall Street Reform and Consumer Protection Act (PL 111-203) - Implementation Issus, including capital standards reporting obligations, Volker Rule, Collins Amendment
Financial Stability Oversight Council - Designation Process and Criteria
Federal Insurance Office - Congressional Report/Federal Advisory Committe on Insurance","HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),SENATE,Treasury, Dept of",21000,,0,0,2012-10-12T16:41:31.983000-04:00
1297997,7118ce0d-a7d8-4200-9632-5291e0293284,Q3,AMERICAN COUNCIL OF LIFE INSURERS,2115,AMERICAN COUNCIL OF LIFE INSURERS,2012,third_quarter,FIN,"Public Law 111-203, H.R. 4173- Dodd-Frank Wall Street Reform and Consumer Protection Act. Issue: Implementation and Regulatory reform.

H.R. 2309: ""The Postal Reform Act of 2011"" Issue: USPS sale of financial products. S.1789: The 21st Century Postal Service Act of 2012. Issue: USPS sale of financial services products

H.R. 1905: Iran Threat Reduction Act of 2011. A bill to compel Iran to abandon its pursuit of nuclear weapons. Issue: Investment Restrictions

S. 2101: Iran Sanctions, Accountability, and Human Rights Act of 2012. A bill to urge the President to initiate diplomatic efforts to expand the multilateral sanctions regime regarding Iran. Issue: Investment Restrictions

HR 4624: To amend the Investment Advisers Act of 1940 to provide for the registration and oversight of national investment adviser associations. Issue: Investment Adviser Regulations

HR 2827: To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes. Issue: Investment Adviser Regulations

HAMDT 1074 to HR 5326: An amendment to prohibit the use of funds to be used by the Department of Justice to be a party to a single or multi-state court settlement where funds are removed from any residential mortgage-backed securitization trust. Issue: Investor Protection

H.R. 6020: Financial Services & General Government Appropriations bill for Fiscal Year 2013. Issue: Agency Funding

S. 3301: Financial Services & General Government Appropriations bill for Fiscal Year 2013. Issue: Agency Funding


Tracking:

H.R. 1610: The Business Risk Mitigation and Price Stabilization Act of 2011. A bill to amend the definitions major swap participant and major security-based swap participant in the Commodity Exchange Act and the Securities Exchange Act of 1934, respectively.  Issue: Dodd-Frank/Derivatives 

S. 947: A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes. Issue: Dodd-Frank/Derivatives

H.R. 1573: To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. A bill that amends the Wall Street Transparency and Accountability Act of 2010 (the Act), title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, to revise the effective dates for the Act and for regulations promulgated under it. Issue: Dodd-Frank/Derivatives

S. 1615: A bill to require enhanced economic analysis and justification of regulations proposed by certain Federal banking, housing, securities, and commodity regulators, and for other purposes. Issue: Dodd-Frank/Regulator Reform

H.R. 3559: Insurance Data Protection Act. A bill to prohibit the Federal Insurance Office of the Department of the Treasury and other financial regulators from collecting data directly from an insurance company.  Issue: Dodd-Frank Implementation

HR 757: To amend the Securities Investor Protection Act of 1970 to confirm that a customer's net equity claim is based on the customer's last statement and that certain recoveries are prohibited, to change how trustees are appointed, and for other purposes. Issue: Implementation and Regulatory Reform

HR 6397: Defending American Taxpayers from Abusive Government Takings Act of 2012. Issue: Investor Protection","HOUSE OF REPRESENTATIVES,SENATE",,1680500,0,0,2012-10-12T16:41:33.233000-04:00
1298007,0acc6cf3-1b52-47af-bed5-18a3c1437477,Q3,"CONFRERE STRATEGIES, LLC",40025211,STATE FARM INSURANCE COMPANIES,2012,third_quarter,FIN,"Dodd- Frank Wall Street and Consumer Protection Act (PL 111-203) - Implementation issues, including capital rules, Collins amend
Financial Services Regulatory Reform - Issues in General
Privacy, Data Security, Cybersecurity and Data Breach Notification - including HR 1528, HR 1707, HR 1841, S 799, S
1207","HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",12000,,0,0,2012-10-12T16:49:39.253000-04:00
1298092,3b495e75-9306-42e6-a689-ef4f8d1de674,Q3,COMMODITY MARKETS COUNCIL,27902,COMMODITY MARKETS COUNCIL,2012,third_quarter,FIN,Raising Speculative Position Limits for Some Agricultural Commodities,"Agriculture, Dept of (USDA),Commodity Futures Trading Commission (CFTC),HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2012-10-12T18:19:12.880000-04:00
1298177,59f2a6ea-e486-4c04-b87f-280d1ed609cc,Q3,THE ASSOCIATION OF MORTGAGE INVESTORS,400614861,THE ASSOCIATION OF MORTGAGE INVESTORS,2012,third_quarter,FIN,"GSE Reform, Securitization, National Mortgage Foreclosure Settlement, Servicing Standards, Private Mortgage Market Investment Act, H.R. 3644, Guarantee Fees","Ginnie Mae,HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Justice, Dept of (DOJ),Natl Economic Council (NEC),SENATE,Treasury, Dept of",,141000,0,0,2012-10-13T18:25:05.317000-04:00
1298217,4b761932-3801-42a2-b7c7-f50e0fa275e7,Q3,"SCONSET STRATEGIES, LLC",400794388,VALTUS CAPITAL GROUP,2012,third_quarter,FIN,Followed all issues related to financial reform.,"HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",,,0,0,2012-10-14T12:33:30.667000-04:00
1298219,36eec7a5-cb29-4a6b-8ea9-33765d815814,Q3,"SCONSET STRATEGIES, LLC",400794388,"GENEVIEVE CAPITAL, LLC",2012,third_quarter,FIN,Followed all issues related to financial reform.,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-14T12:56:31.403000-04:00
1298230,2c2760d9-68b7-4108-bfa8-1d3882e4e7b3,Q3,"SCONSET STRATEGIES, LLC",400794388,ARISTEIA CAPITAL,2012,third_quarter,FIN,"Followed all issues related to financial reform.
Followed all issues related to mortgage reform.
Followed all issues related to housing reform.","Commodity Futures Trading Commission (CFTC),Consumer Product Safety Commission (CPSC),Federal Housing Finance Agency (FHFA),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",30000,,0,0,2012-10-14T14:04:34.993000-04:00
1298246,0c1d3d53-33b7-46e9-be87-ab374428c161,Q3,"THE MAJORITY GROUP, LLC",400713141,ISERVE RESIDENTIAL LENDING LLC,2012,third_quarter,FIN,Contacted Fannie-Mae on client's behalf.,,,,0,0,2012-10-14T15:33:43.297000-04:00
1298251,3f6563af-d871-418e-bd43-2245c46fd516,Q3,"THE MAJORITY GROUP, LLC",400713141,NEWPORT INVESTMENT ASSOCIATES,2012,third_quarter,FIN,Lobbying members and staff of multiple state delegations and relevant committees of jurisdiction in the House and Senate and federal agencies looking to sell distressed loans and assets.,"Federal Deposit Insurance Corporation (FDIC),General Services Administration (GSA),HOUSE OF REPRESENTATIVES,Housing & Urban Development, Dept of (HUD),Justice, Dept of (DOJ),SENATE",30000,,0,0,2012-10-14T15:41:46.413000-04:00
1298401,13e2d6ce-84e8-4d38-afea-e3b4ab30b933,Q3,ARTEMIS STRATEGIES,82990,SAP AMERICA,2012,third_quarter,FIN,Financial modernization,"HOUSE OF REPRESENTATIVES,SENATE",40000,,0,0,2012-10-15T09:48:26-04:00
1298538,d6a4a748-0699-4ec1-95fa-e63899c75c20,Q3,HOLLAND & KNIGHT LLP,18466,"PCI SECURITY STANDARDS COUNCIL, LLC",2012,third_quarter,FIN,Policy issues related to data security,"Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,Natl Institute of Standards & Technology (NIST),SENATE",10000,,0,0,2012-10-15T11:02:59.693000-04:00
1298625,62c4afdf-26ad-469c-ac4e-45f7210ec4f2,Q3,"LAWRENCE J. ROMANS & ASSOCIATES, LLC",61072,CHARLES SCHWAB & CO INC,2012,third_quarter,FIN,"H.R. 4624, Investment Adviser Oversight Act of 2012; possible regulations on money market funds.","HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-15T11:26:39.547000-04:00
1298638,dca19c47-e14e-4aec-9aa9-6c6bb90db0a7,Q3,"MEHLMAN CONSULTING, INC.",284950,ENCORE CAPITAL GROUP,2012,third_quarter,FIN,"Financial Services Issues.  
H.R. 3309/S. 1784, Federal Communications Commission Process Reform Act of 2012
(Note:  The Consumer Financial Protection Bureau was contacted; it was established in January 2012 and not yet listed under agencies on #17 thus the Dept. of Treasury has been listed.)","Federal Communications Commission (FCC),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",60000,,0,0,2012-10-15T11:28:45.060000-04:00
1298801,e5700866-1c8e-4a2e-99d2-a0ceee4b758d,Q3,NOMURA HOLDING AMERICA INC.,400609851,NOMURA HOLDING AMERICA INC.,2012,third_quarter,FIN,"H.R. 3283, The Swap Jurisdiction Certainty Act
General financial services issues (no specific legislation introduced)
On-going implementation of the Dodd Frank Act","HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",,110000,0,0,2012-10-15T12:37:10.103000-04:00
1298826,ef421f79-4a60-46d7-83e0-c45cd2da22ff,Q3,"JM FAMILY ENTERPRISES, INC",20620,JM FAMILY ENTERPRISES INC,2012,third_quarter,FIN,Proposed Consumer Finance Protection Board,"HOUSE OF REPRESENTATIVES,SENATE",,40000,0,0,2012-10-15T12:50:23.620000-04:00
1298843,15455437-5092-485f-8bbc-240e17650039,Q3,"GREENBERG TRAURIG, LLP",16896,SMITH & WESSON HOLDING COMPANY,2012,third_quarter,FIN,DOD issues related to small arms program funding.,"Defense, Dept of (DOD),HOUSE OF REPRESENTATIVES,SENATE",15000,,0,0,2012-10-15T12:59:29.200000-04:00
1298869,60d51c09-aca4-48eb-87e6-f022fd7ddd33,Q3,COUNCIL FOR CITIZENS AGAINST GOVERNMENT WASTE,11003,COUNCIL FOR CITIZENS AGAINST GOVERNMENT WASTE,2012,third_quarter,FIN,"H.R. 459, Federal Reserve Transparency Act; all sections","HOUSE OF REPRESENTATIVES,SENATE",,50000,0,0,2012-10-15T13:09:41.080000-04:00
1298919,bafed3b7-d3b3-4e13-8f04-a5245ab93f1c,Q3,"H&R BLOCK MANAGEMENT, LLC, A SUBSIDIARY OF H&R BLOCK, INC.",17215,"H&R BLOCK MANAGEMENT, LLC, A SUBSIDIARY OF H&R BLOCK, INC.",2012,third_quarter,FIN,Financial services legislation and implementation of PL 111-203 Dodd Frank Act. H.R. 3162 - to establish the consumer financial protection agency. Tax preparer regulation legislation. Tax simplification. Return free filing. Policies related to the unbanked. Policies related to the implementation of the Affordable Care Act.,"Health & Human Services, Dept of (HHS),HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Securities & Exchange Commission (SEC),SENATE,Treasury, Dept of",,275000,0,0,2012-10-15T13:23:02.097000-04:00
1299031,396e3797-974a-4107-a77b-747b7a3f0a77,Q3,MUTUAL OF OMAHA,26284,MUTUAL OF OMAHA,2012,third_quarter,FIN,HR 2682 - Business Risk Mitigation & Price Stabilization Act of 2011 - End user exemptions from certain provisions of the Comodity Exchange Act & Securities Exchange Act of 1934.,"HOUSE OF REPRESENTATIVES,SENATE",,150000,0,0,2012-10-15T13:59:48.257000-04:00
1299035,e7de13b5-f7ac-4842-8c96-19167855e3a2,Q3,"FORSCEY, PLLC",52880,NATIONAL ASSOCIATION OF SHAREHOLDER AND CONSUMER ATTORNEYS,2012,third_quarter,FIN,"Issues related to securities markets and regulatory reform, including the Consumer Protection Agency. Legislation to provide extraterritorial application to enhance SEC enforcement powers of U.S. Securities Law. SEC implementation of investor protection provisions of Dodd Frank.  H.R. 3606, Jumpstart Our Business Startups Act or JOBS Act.","HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",20000,,0,0,2012-10-15T13:59:49.177000-04:00
1299074,3105c15c-ade8-47ef-b701-e9c2f066199d,Q3,ACA INTERNATIONAL,81431,ACA INTERNATIONAL,2012,third_quarter,FIN,Amending the Fair Debt Collection Practices Act; Consumer Financial Protection Bureau implementation; medical debt; data security and privacy; Fair Credit Reporting Act; Gramm-Leah Bliley Act,"Federal Communications Commission (FCC),Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,SENATE,Treasury, Dept of",,290000,0,0,2012-10-15T14:17:09.003000-04:00
1299078,cf711cb6-3ec4-4ab2-8b62-9f87549c44ad,Q3,"LAWRENCE J. ROMANS & ASSOCIATES, LLC",61072,JPMORGAN CHASE & CO.,2012,third_quarter,FIN,"HR 2682, the Business Risk Mitigation and Price Stabilization Act of 2011; HR 2779, to exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd Frank Wall; HR 2568, the Swap Execution Facility Clarification Act; HR 3283 Swap Jurisdiction Certainty Act; HR 4101 Fair Debt Collections Practices Clarification Act of 2012; implementation of Volcker Rule; proposed CFPB rule on Qualified Mortgage.","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-10-15T14:20:10.577000-04:00
1299095,c9e05f15-a8f9-448f-83a1-38fb3c8ee8ec,Q3,COUNCIL OF INSTITUTIONAL INVESTORS,11082,COUNCIL OF INSTITUTIONAL INVESTORS,2012,third_quarter,FIN,"JOBS Bill- Jumpstart Our Business Startups Act
Dodd-Frank Implementation 
S. 3468","HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE,White House Office",,,0,0,2012-10-15T14:28:21.347000-04:00
1299158,fe2f7b63-482c-4ae9-a75c-6b2e0f0a0a7c,Q3,PENN AVENUE PARTNERS,400918672,"EUFORA, LLC",2012,third_quarter,FIN,Regulatory issues related to pre-paid cards.,"Federal Deposit Insurance Corporation (FDIC),Office of the Comptroller of the Currency (OCC),SENATE",,,0,0,2012-10-15T14:39:40.130000-04:00
1299276,7493cfb9-fba2-4680-938c-6055b8d50146,Q3,CROWELL & MORING LLP,11377,"GFI GROUP, INC.",2012,third_quarter,FIN,Credit Derivative Swaps. Dodd-Frank bill (H.R. 4173).,"Commodity Futures Trading Commission (CFTC),SENATE",,,0,0,2012-10-15T15:10:31.453000-04:00
1299279,ddae6f12-152f-47f1-a65d-a7c4614b2c6c,Q3,ENERGY MARKETERS OF AMERICA,31281,ENERGY MARKETERS OF AMERICA,2012,third_quarter,FIN,"Rules implementation for the Dodd-Frank Wall Street Reform and Consumer Protection Act (Public Law No: 111-203) regarding interchange fees and derivatives (swaps and Futures market) overhaul; HR 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.
HR 3283 - Swap Jurisdiction Certainty Act","Commodity Futures Trading Commission (CFTC),Energy, Dept of,Environmental Protection Agency (EPA),Federal Reserve System,Federal Trade Commission (FTC),Food & Drug Administration (FDA),Health & Human Services, Dept of (HHS),Homeland Security, Dept of (DHS),HOUSE OF REPRESENTATIVES,Internal Revenue Service (IRS),Pipeline & Hazardous Materials Safety Administration,SENATE,Transportation, Dept of (DOT)",,170000,0,0,2012-10-15T15:11:35.127000-04:00
1299340,3aec34c2-b7f0-441f-9c59-0a997a88bd87,Q3,"TAUZIN CONSULTANTS, LLC",400671007,JAMES R. WOODHILL,2012,third_quarter,FIN,ACH fraud prevention,"HOUSE OF REPRESENTATIVES,SENATE",,,0,0,2012-10-15T15:30:16-04:00
1299343,607388aa-9777-4c8b-9b93-b3ce487fa9d7,Q3,JOHN T. O'ROURKE,29937,"THE TRAVELERS COMPANIES, INC. AND SUBSIDIARIES",2012,third_quarter,FIN,Dodd-Frank implementation and oversight.,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-15T15:31:01.883000-04:00
1299443,47600857-d4ce-4571-a7c5-8878b56fc8bc,Q3,AMERICAN BAKERS ASSOCIATION,1774,AMERICAN BAKERS ASSOCIATION,2012,third_quarter,FIN,Commodity Futures Trading Regulation- Position Limit Regulations,"Agriculture, Dept of (USDA),Centers For Disease Control & Prevention (CDC),Commodity Futures Trading Commission (CFTC),Federal Trade Commission (FTC),Food & Drug Administration (FDA),HOUSE OF REPRESENTATIVES,Labor, Dept of (DOL),SENATE",,23281,0,0,2012-10-15T15:58:46.193000-04:00
1299448,ca32b95b-cbf7-4084-8197-8facf8a2d0f9,3A,"SMITH, COSTELLO & CRAWFORD",35742,INVESTMENT COMPANY INSTITUTE,2012,third_quarter,FIN,Mutual Fund Issues,"HOUSE OF REPRESENTATIVES,SENATE",30000,,0,0,2012-10-15T15:59:46.990000-04:00
1299494,4263fdea-a410-45a0-80a3-bc480c9bb5c7,Q3,"LAND O'LAKES, INC.",22110,LAND O'LAKES INC,2012,third_quarter,FIN,"Wall Street Reform and Consumer Protection Act, HR 4173","Agriculture, Dept of (USDA),Commodity Futures Trading Commission (CFTC),Environmental Protection Agency (EPA),Federal Trade Commission (FTC),HOUSE OF REPRESENTATIVES,SENATE,U.S. Trade Representative (USTR)",,340000,0,0,2012-10-15T16:17:08.297000-04:00
1299554,072445d1-3112-47fa-8729-1468c77a3365,Q3,SIFF & ASSOCIATES PLLC,400665998,"CENTER FOR CAPITAL MARKETS COMPETITIVENESS, U.S. CHAMBER OF COMMERCE",2012,third_quarter,FIN,"Prohibitions and Restrictions on Proprietary Trading and Certain Interests in and Relationships with Hedge Funds and Private Equity Funds; Proposed Rule; OCC-2011-0014, RIN 1557-AD44; Docket No. R-14; RIN 7100AD; RIN 2064-AD85; Release No 34; RIN 3235-AL-07.  Supplemental notice of proposed rulemaking regarding definition of ""predominantly engaged in financial activities;"" RIN 7100-AD64.  Regulations being discussed at Securities and Exchange Commission to transition Money Market Mutual Funds to a floating Net Asset Value (NAV) and impose restrictions on redemptions from such funds as well as additional capital buffers (no rule yet proposed).  Implementation of provisions in Title I of the Dodd-Frank Act relating to the designation of Systemically Important Financial Institutions (SIFIs).  Supplemental notice of proposed rulemaking regarding definition of ""Financial Activity and Activities Incidental Thereto;"" RIN 3064-AD73.","HOUSE OF REPRESENTATIVES,SENATE",20000,,0,0,2012-10-15T16:32:25.793000-04:00
1299573,c9dc6827-84d4-4109-92b3-cbb846743c68,Q3,SIFF & ASSOCIATES PLLC,400665998,KOCH COMPANIES PUBLIC SECTOR LLC,2012,third_quarter,FIN,"S. 1483, the ""Incorporation Transparency and Law Enforcement Assistance Act,"" a bill to direct each state to amend their state business formation laws to regulate every new and existing business entity in the United States and the information they provide upon formation, entire bill.","HOUSE OF REPRESENTATIVES,SENATE",50000,,0,0,2012-10-15T16:45:34.327000-04:00
1299612,1370f3cb-079a-4d38-b8c9-3508459ae8b4,Q3,DALY CONSULTING GROUP,400923683,INVESTMENT COMPANY INSTITUTE,2012,third_quarter,FIN,Issues related to investment companies,"HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",30000,,0,0,2012-10-15T17:27:31.057000-04:00
1299613,8397a812-5013-4f2d-953c-a0caf9229729,Q3,WEBMD HEALTH CORP.,55473,WEBMD HEALTH CORP,2012,third_quarter,FIN,Student loan auction rate security,SENATE,,30000,0,0,2012-10-15T17:28:52.837000-04:00
1299621,394384d0-0677-4456-909d-c2cddf1823bd,Q3,DALY CONSULTING GROUP,400923683,KNIGHT CAPITAL GROUP,2012,third_quarter,FIN,Issues related to the capital markets.,"HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",13500,,0,0,2012-10-15T17:36:33.907000-04:00
1299627,d4577d27-678d-4b7f-9874-23ffd611d612,Q3,DALY CONSULTING GROUP,400923683,RAPID RATINGS,2012,third_quarter,FIN,Issues related to credit rating agencies.,"HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",,,0,0,2012-10-15T17:48:36.143000-04:00
1299632,c4b1a7dd-b1c5-429a-a702-e8fd4c05d162,Q3,DALY CONSULTING GROUP,400923683,CITADEL LLC,2012,third_quarter,FIN,Issues related to the capital markets.,"HOUSE OF REPRESENTATIVES,Securities & Exchange Commission (SEC),SENATE",30000,,0,0,2012-10-15T17:54:37.260000-04:00