Represent

Lobbying
Lobbying by American Bankers Association Securities Association (ABASA)

Lobbying Relationship

Client

American Bankers Association Securities Association (ABASA)

More records

Lobbying firm

American Bankers Association Securities Association (ABASA)

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H.R. 7614, the Digital Commodity Exchange Act of 2022 (DCEA)

Duration: January 1, 2008 to present

General Issues: Banking, Financial Institutions/Investments/Securities, Taxation/Internal Revenue Code, Economics/Economic Development, Consumer Issues/Safety/Protection, Small Business, Accounting, Government Issues, Labor Issues/Antitrust/Workplace, Environmental/Superfund, Insurance, Agriculture, Retirement, Budget/Appropriations

Spending: about $545,732 (But it's complicated. Here's why.)

Agencies lobbied since 2008: House of Representatives, Securities & Exchange Commission (SEC), Federal Reserve System, Commodity Futures Trading Commission (CFTC), U.S. Senate, Treasury - Dept of, Labor - Dept of (DOL), Office of Management & Budget (OMB), House of Representatives,, U.S. Senate,, White House Office,, Agriculture - Dept of (USDA), White House Office, Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), Office of Thrift Supervision (OTS)

Bills mentioned

H.R.2209: To require the appropriate Federal banking agencies to treat certain...

Sponsor: Luke Messer (R-Ind.)

S.3404: A bill to amend the Federal Deposit Insurance Act to require the...

Sponsor: Mike Rounds (R-S.D.)

H.R.5983: Financial CHOICE Act of 2016

Sponsor: Jeb Hensarling (R-Texas)

H.R.6392: Systemic Risk Designation Improvement Act of 2016

Sponsor: Blaine Luetkemeyer (R-Mo.)

H.R.2209: Helping to Encourage Real Opportunities (HERO) for At-Risk Youth Act

Sponsor: Robin Kelly (D-Ill.)

H.R.1309: Systemic Risk Designation Improvement Act of 2015

Sponsor: Blaine Luetkemeyer (R-Mo.)

S.774: Financial Institutions Examination Fairness and Reform Act

Sponsor: Jerry Moran (R-Kan.)

H.R.37: Promoting Job Creation and Reducing Small Business Burdens Act

Sponsor: Michael G. Fitzpatrick (R-Pa.)

S.1912: A bill to clarify that certain banking entities are not required to...

Sponsor: Joe Manchin III (D-W.Va.)

S.474: Swaps Regulatory Improvement Act

Sponsor: Kay Hagan (D-N.C.)

S.710: Municipal Advisors Relief Act of 2013

Sponsor: Mark Warner (D-Va.)

S.731: Basel III CASE Act

Sponsor: Joe Manchin III (D-W.Va.)

S.737: Basel III Impact Study Act

Sponsor: Richard C. Shelby (R-Ala.)

S.798: TBTF Act

Sponsor: Sherrod Brown (D-Ohio)

H.R.634: Business Risk Mitigation and Price Stabilization Act of 2013

Sponsor: Mike Grimm (R-N.Y.)

H.R.677: Inter-Affiliate Swap Clarification Act

Sponsor: Steve Stivers (R-Ohio)

H.R.742: Swap Data Repository and Clearinghouse Indemnification Correction Act of...

Sponsor: Rick Crawford (R-Ark.)

H.R.797: Municipal Advisor Oversight Improvement Act of 2013

Sponsor: Steve Stivers (R-Ohio)

H.R.992: Swaps Regulatory Improvement Act

Sponsor: Randy Hultgren (R-Ill.)

H.R.1003: To improve consideration by the Commodity Futures Trading Commission of...

Sponsor: K. Michael Conaway (R-Texas)

H.R.1062: SEC Regulatory Accountability Act

Sponsor: Scott Garrett (R-N.J.)

H.R.1256: Swap Jurisdiction Certainty Act

Sponsor: Scott Garrett (R-N.J.)

S.2976: Derivatives End-Users Clarification Act

Sponsor: Susan Collins (R-Maine)

H.R.3913: To amend the Bank Holding Company Act of 1956 to require agencies to...

Sponsor: Sean Duffy (R-Wis.)

H.R.4387: FSOC Transparency and Accountability Act

Sponsor: Scott Garrett (R-N.J.)

S.2199: Paycheck Fairness Act

Sponsor: Barbara A. Mikulski (D-Md.)

S.451: Dodd-Frank Wall Street Reform and Consumer Protection Technical...

Sponsor: Richard C. Shelby (R-Ala.)

H.R.1341: Financial Competitive Act of 2013

Sponsor: Stephen Fincher (R-Tenn.)

H.R.508: TRIA Reauthorization Act of 2013

Sponsor: Mike Grimm (R-N.Y.)

H.R.3036: Systemic Risk Designation Improvement Act of 2013

Sponsor: Blaine Luetkemeyer (R-Mo.)

H.R.1573: To facilitate implementation of title VII of the Dodd-Frank Wall Street...

Sponsor: Frank D. Lucas (R-Okla.)

H.R.1840: To improve consideration by the Commodity Futures Trading Commission of...

Sponsor: K. Michael Conaway (R-Texas)

H.R.1838: Swaps Bailout Prevention Act

Sponsor: Nan Hayworth (R-N.Y.)

H.R.2308: SEC Regulatory Accountability Act

Sponsor: Scott Garrett (R-N.J.)

H.R.2586: Swap Execution Facility Clarification Act

Sponsor: Scott Garrett (R-N.J.)

H.R.2779: To exempt inter-affiliate swaps from certain regulatory requirements put...

Sponsor: Steve Stivers (R-Ohio)

H.R.3527: Protecting Main Street End-Users From Excessive Regulation

Sponsor: Randy Hultgren (R-Ill.)

S.2223: A bill to address the implementation of certain prohibitions under the...

Sponsor: Michael D. Crapo (R-Idaho)

S.3492: A bill to provide for exemptions from municipal advisor registration...

Sponsor: Patrick J. Toomey (R-Pa.)

H.R.2827: To amend the Securities Exchange Act of 1934 to clarify provisions...

Sponsor: Robert Dold (R-Ill.)

H.R.3283: Swap Jurisdiction Certainty Act

Sponsor: Jim Himes (D-Conn.)

H.R.4235: Swap Data Repository and Clearinghouse Indemnification Correction Act of...

Sponsor: Robert Dold (R-Ill.)

H.R.6524: U.S. Financial Services Global Viability Act

Sponsor: Peter T. King (R-N.Y.)

H.R.1539: Asset-Backed Market Stabilization Act of 2011

Sponsor: Steve Stivers (R-Ohio)

H.R.3128: To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act...

Sponsor: Mike Grimm (R-N.Y.)

S.1151: Personal Data Privacy and Security Act of 2011

Sponsor: Patrick J. Leahy (D-Vt.)

S.1207: Data Security and Breach Notification Act of 2011

Sponsor: Mark Pryor (D-Ark.)

S.1408: Data Breach Notification Act of 2011

Sponsor: Dianne Feinstein (D-Calif.)

S.1434: Data Security Act of 2011

Sponsor: Thomas R. Carper (D-Del.)

S.1535: Personal Data Protection and Breach Accountability Act of 2011

Sponsor: Richard Blumenthal (D-Conn.)

S.2160: Financial Institutions Examination Fairness and Reform Act

Sponsor: Jerry Moran (R-Kan.)

H.R.2577: SAFE Data Act

Sponsor: Mary Bono Mack (R-Calif.)

H.R.3461: Financial Institutions Examination Fairness and Reform Act

Sponsor: Shelley Moore Capito (R-W.Va.)

H.R.5860: Executive Compensation Clawback Full Enforcement Act

Sponsor: Barney Frank (D-Mass.)

S.1506: A bill to prevent the Secretary of the Treasury from expanding United...

Sponsor: Marco Rubio (R-Fla.)

S.1787: Wall Street Trading and Speculators Tax Act

Sponsor: Tom Harkin (D-Iowa)

H.J.RES.108: Providing for congressional disapproval under chapter 8 of title 5,...

Sponsor: Francisco Canseco (R-Texas)

H.R.2568: To prevent the Secretary of the Treasury from expanding United States...

Sponsor: Bill Posey (R-Fla.)

H.R.3313: Wall Street Trading and Speculators Tax Act

Sponsor: Peter A. DeFazio (D-Ore.)

H.R.4348: MAP-21

Sponsor: John L. Mica (R-Fla.)

H.R.3045: Retirement Income Protection Act of 2011

Sponsor: Francisco Canseco (R-Texas)

H.R.87: To repeal the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Sponsor: Michele Bachmann (R-Minn.)

H.R.940: United States Covered Bond Act of 2011

Sponsor: Scott Garrett (R-N.J.)

H.R.4173: Dodd-Frank Wall Street Reform and Consumer Protection Act

Sponsor: Barney Frank (D-Mass.)

S.3217: Restoring American Financial Stability Act of 2010

Sponsor: Christopher J. Dodd (D-Conn.)

H.R.1349: Federal Accounting Oversight Board Act of 2009

Sponsor: Ed Perlmutter (D-Colo.)

H.R.4884: United States Covered Bond Act of 2010

Sponsor: Scott Garrett (R-N.J.)

H.R.5823: United States Covered Bond Act of 2010

Sponsor: Scott Garrett (R-N.J.)

H.R.3915: Mortgage Reform and Anti-Predatory Lending Act of 2007

Sponsor: Brad Miller (D-N.C.)

S.2452: Home Ownership Preservation and Protection Act of 2007

Sponsor: Christopher J. Dodd (D-Conn.)

S.761: America Creating Opportunities to Meaningfully Promote Excellence in...

Sponsor: Harry Reid (D-Nev.)

H.R.1171: Money Market Fund Parity Act of 2007

Sponsor: Gregory W. Meeks (D-N.Y.)

H.R.3225: Mutual Fund Fee Reform Act

Sponsor: Michael N. Castle (R-Del.)

S.1624: A bill to amend the Internal Revenue Code of 1986 to provide that the...

Sponsor: Max Baucus (D-Mont.)

H.R.2834: To amend the Internal Revenue Code of 1986 to treat income received by...

Sponsor: Sander M. Levin (D-Mich.)

H.R.2761: Terrorism Risk Insurance Program Reauthorization Act of 2007

Sponsor: Michael E. Capuano (D-Mass.)

H.R.5720: Housing Assistance Tax Act of 2008

Sponsor: Charles B. Rangel (D-N.Y.)

H.R.5715: Ensuring Continued Access to Student Loans Act of 2008

Sponsor: George Miller (D-Calif.)

H.R.1424: A bill to provide authority for the Federal Government to purchase and...

Sponsor: Patrick J. Kennedy (D-R.I.)

S.2169: Promoting Refinancing Opportunities for Mortgages Impacted by the...

Sponsor: Charles E. Schumer (D-N.Y.)

S.2636: Foreclosure Prevention Act of 2008

Sponsor: Harry Reid (D-Nev.)

H.R.6659: Equal Treatment of Covered Bonds Act of 2008

Sponsor: Scott Garrett (R-N.J.)

S.3268: Stop Excessive Energy Speculation Act of 2008

Sponsor: Harry Reid (D-Nev.)

H.R.6604: Commodity Markets Transparency and Accountability Act of 2008

Sponsor: Collin C. Peterson (D-Minn.)

H.R.3691: SAFE Consumer Product Act

Sponsor: Rosa DeLauro (D-Conn.)

H.R.4375: Glass-Steagall Restoration Act

Sponsor: Maurice D. Hinchey (D-N.Y.)

H.R.4377: Return to Prudent Banking Act of 2009

Sponsor: Marcy Kaptur (D-Ohio)

H.R.4461: Banking Integrity Act of 2010

Sponsor: John D. Dingell (D-Mich.)

S.2886: Banking Integrity Act of 2009

Sponsor: Maria Cantwell (D-Wash.)

S.2994: Taxpayer Fairness Act

Sponsor: Barbara Boxer (D-Calif.)

H.R.4213: Unemployment Compensation Extension Act of 2010

Sponsor: Charles B. Rangel (D-N.Y.)

S.344: Hedge Fund Transparency Act

Sponsor: Charles E. Grassley (R-Iowa)

S.360: Cap Executive Officer Pay Act of 2009

Sponsor: Claire McCaskill (D-Mo.)

S.605: A bill to require the Securities and Exchange Commission to reinstate...

Sponsor: Edward E. Kaufman (D-Del.)

S.651: Compensation Fairness Act of 2009

Sponsor: Max Baucus (D-Mont.)

S.1540: Resolution Reform Act of 2009

Sponsor: Bob Corker (R-Tenn.)

S.1074: Shareholder Bill of Rights Act of 2009

Sponsor: Charles E. Schumer (D-N.Y.)

H.R.302: To require the Securities and Exchange Commission to reinstate the...

Sponsor: Gary L. Ackerman (D-N.Y.)

H.R.711: Hedge Fund Adviser Registration Act of 2009

Sponsor: Michael E. Capuano (D-Mass.)

H.R.977: Derivatives Markets Transparency and Accountability Act of 2009

Sponsor: Collin C. Peterson (D-Minn.)

H.R.1406: Stock Market Recovery Act of 2009

Sponsor: Mark Steven Kirk (R-Ill.)

H.R.1575: End Government Reimbursement of Excessive Executive Disbursements (End...

Sponsor: John Conyers Jr. (D-Mich.)

H.R.1664: To amend the executive compensation provisions of the Emergency Economic...

Sponsor: Alan Grayson (D-Fla.)

H.R.3068: TARP for Main Street Act of 2009

Sponsor: Barney Frank (D-Mass.)

H.R.3126: Consumer Financial Protection Agency Act of 2009

Sponsor: Barney Frank (D-Mass.)

H.R.3269: Corporate and Financial Institution Compensation Fairness Act of 2009

Sponsor: Barney Frank (D-Mass.)

H.R.3594: TARP Recipient Ownership Trust Act of 2009

Sponsor: Spencer Bachus (R-Ala.)

H.R.3795: Over-the-Counter Derivatives Markets Act of 2009

Sponsor: Barney Frank (D-Mass.)

H.R.3890: Accountability and Transparency in Rating Agencies Act

Sponsor: Paul E. Kanjorski (D-Pa.)

H.R.3996: Financial Stability Improvement Act of 2009

Sponsor: Barney Frank (D-Mass.)

S.272: Derivatives Trading Integrity Act of 2009

Sponsor: Tom Harkin (D-Iowa)

S.383: Special Inspector General for the Troubled Asset Relief Program Act of 2009

Sponsor: Claire McCaskill (D-Mo.)

H.R.2861: Shareholder Empowerment Act of 2009

Sponsor: Gary Peters (D-Mich.)

H.R.1586: FAA Air Transportation Modernization and Safety Improvement Act

Sponsor: Charles B. Rangel (D-N.Y.)

H.R.1105: Omnibus Appropriations Act, 2009

Sponsor: David R. Obey (D-Wis.)

S.1: American Recovery and Reinvestment Act of 2009

Sponsor: Harry Reid (D-Nev.)

H.R.1: American Recovery and Reinvestment Act of 2009

Sponsor: David R. Obey (D-Wis.)

H.R.598: To provide for a portion of the economic recovery package relating to...

Sponsor: Charles B. Rangel (D-N.Y.)

H.R.384: TARP Reform and Accountability Act of 2009

Sponsor: Barney Frank (D-Mass.)

H.R.3997: Defenders of Freedom Tax Relief Act of 2007

Sponsor: Charles B. Rangel (D-N.Y.)

S.10: Restoring Fiscal Discipline Act of 2007

Sponsor: Harry Reid (D-Nev.)

H.R.4292: Financial Institution Living Will Improvement Act of 2017

Sponsor: Lee Zeldin (R-N.Y.)

H.R.4293: Stress Test Improvement Act of 2017

Sponsor: Lee Zeldin (R-N.Y.)

H.R.4296: To place requirements on operational risk capital requirements for...

Sponsor: Blaine Luetkemeyer (R-Mo.)

H.R.4790: Volcker Rule Regulatory Harmonization Act

Sponsor: French Hill (R-Ark.)

S.828: A bill to amend the Federal Deposit Insurance Act to require the...

Sponsor: Mike Rounds (R-S.D.)

H.R.7614: Digital Commodity Exchange Act of 2022

Sponsor: Glenn Thompson (R-Pa.)

Show All Mentioned Bills

Lobbyists

Lobbyists named here were listed on a filing related to this lobbying engagement. They may not be working on it now. Occasionally, a single lobbyist whose name is spelled two different ways on filings may be represented twice here.

Lobbyist	Covered positions?
Cecelia Calaby	n/a
Cristina Naser	n/a
Cristeena Naser	n/a
Cris Naser	n/a
Cecelia A. Calaby	n/a
Diana Preston	n/a
Sarah A. Miller	n/a
Carolyn Walsh	n/a
Sarah A Miller	n/a
Sarah Miller	n/a
Sally Miller	n/a
Beth L. Climo	n/a
J. Kevin A. McKechnie	n/a
J.Kevin A. McKechnie	n/a
Justin Underwood	n/a

Disclosures Filed

Once a lobbying engagement begins, the lobbyist or firm is required to file updates four times a year. Those updates sometimes change which lobbyists are involved or add new issues being discussed. When lobbyists stop working for a client, the firm is also supposed to file a report disclosing the end of the relationship.

1st Quarter, 2024

Q1 Report

4th Quarter, 2023

Q4 Report

3rd Quarter, 2023

Q3 Report

2nd Quarter, 2023

Q2 Report

1st Quarter, 2023

Q1 Report

4th Quarter, 2022

Amendment

4th Quarter, 2022

Q4 Report

3rd Quarter, 2022

Q3 Report

2nd Quarter, 2022

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on June 30, 2022. Original Filing: 301376961.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2022

Q1 Report

4th Quarter, 2021

Q4 Report

3rd Quarter, 2021

Q3 Report

2nd Quarter, 2021

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 16, 2021. Original Filing: 301278364.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2021

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 15, 2021. Original Filing: 301253431.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2020

Q4 Report

3rd Quarter, 2020

Q3 Report

2nd Quarter, 2020

Amendment

2nd Quarter, 2020

Q2 Report

1st Quarter, 2020

Q1 Report

4th Quarter, 2019

Q4 Report

3rd Quarter, 2019

Q3 Report

2nd Quarter, 2019

Q2 Report

1st Quarter, 2019

Q1 Report

4th Quarter, 2018

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 17, 2019. Original Filing: 301006320.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2018

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 19, 2018. Original Filing: 300990509.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2018

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 20, 2018. Original Filing: 300973698.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2018

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 19, 2018. Original Filing: 300949163.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2017

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 19, 2018. Original Filing: 300927777.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2017

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 19, 2017. Original Filing: 300908194.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2017

Amendment

American Bankers Association Securities Association (ABASA) amended a lobbying report for in-house lobbying in Q22017 on July 19, 2017 Original Filing: 300889362.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2017

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 19, 2017. Original Filing: 300888344.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2017

Amendment

American Bankers Association Securities Association (ABASA) amended a lobbying report for in-house lobbying in Q12017 on April 18, 2017 Original Filing: 300867294.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2017

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 19, 2017. Original Filing: 300850549.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2016

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Feb. 16, 2017. Original Filing: 300860536.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2016

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 19, 2016. Original Filing: 300832381.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2016

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 13, 2016. Original Filing: 300809216.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2016

Q1 Report

4th Quarter, 2015

Q4 Report

3rd Quarter, 2015

Q3 Report

2nd Quarter, 2015

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 20, 2015. Original Filing: 300742394.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2015

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 20, 2015. Original Filing: 300726073.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2014

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 20, 2015. Original Filing: 300705389.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) S. 710, the Municipal Advisors Relief Act of 2013 (all provisions to exempt commercial banks and savings and loan associations from the Dodd-Frank Act provisions requiring regulation of municipal advisors) S. 731, the Basel III CASE Act (all provisions) S. 737, the Basel III Impact Study Act (all provisions) S. 798, the Terminating Bailouts for Taxpayer Fairness Act of 2013 (all provisions) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps) H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act H.R.797 , the Municipal Advisor Oversight Improvement Act of 2013 H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 1062, the SEC Regulatory Accountability Act (all provisions to require the SEC to do a thorough cost-benefit analysis before proposing a new regulation) H.R. 1256, the Swap Jurisdiction Certainty Act Draft Senate legislation to exempt commercial banks from municipal advisor regulation Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year. Clarity in Regulations Discussion Draft S. 2976: Derivatives End-Users Clarification Act

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2014

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 21, 2014. Original Filing: 300689653.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) S. 710, the Municipal Advisors Relief Act of 2013 (all provisions to exempt commercial banks and savings and loan associations from the Dodd-Frank Act provisions requiring regulation of municipal advisors)S. 731, the Basel III CASE Act (all provisions) S. 737, the Basel III Impact Study Act (all provisions) S. 798, the Terminating Bailouts for Taxpayer Fairness Act of 2013 (all provisions) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps) H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act H.R.797 , the Municipal Advisor Oversight Improvement Act of 2013 H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 1062, the SEC Regulatory Accountability Act (all provisions to require the SEC to do a thorough cost-benefit analysis before proposing a new regulation) H.R. 1256, the Swap Jurisdiction Certainty Act Draft Senate legislation to exempt commercial banks from municipal advisor regulation Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year.

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2014

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 18, 2014. Original Filing: 300662416.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2014

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 21, 2014. Original Filing: 300644212.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) S. 710, the Municipal Advisors Relief Act of 2013 (all provisions to exempt commercial banks and savings and loan associations from the Dodd-Frank Act provisions requiring regulation of municipal advisors)S. 731, the Basel III CASE Act (all provisions) S. 737, the Basel III Impact Study Act (all provisions) S. 798, the Terminating Bailouts for Taxpayer Fairness Act of 2013 (all provisions) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps) H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act H.R.797 , the Municipal Advisor Oversight Improvement Act of 2013 H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 1062, the SEC Regulatory Accountability Act (all provisions to require the SEC to do a thorough cost-benefit analysis before proposing a new regulation) H.R. 1256, the Swap Jurisdiction Certainty Act H.R. 1341, the Financial Competitive Act of 2013 (all provisions) Draft Senate legislation to exempt commercial banks from municipal advisor regulation Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year.

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2013

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 17, 2014. Original Filing: 300618421.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) S. 731, the Basel III CASE Act (all provisions) S. 737, the Basel III Impact Study Act (all provisions) S. 798, the Terminating Bailouts for Taxpayer Fairness Act of 2013 (all provisions)S. 710, the Municipal Advisors Relief Act of 2013 (all provisions to exempt commercial banks and savings and loan associations from the Dodd-Frank Act provisions requiring regulation of municipal advisors) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps) H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act H.R.797 , the Municipal Advisor Oversight Improvement Act of 2013 H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 1062, the SEC Regulatory Accountability Act (all provisions to require the SEC to do a thorough cost-benefit analysis before proposing a new regulation) H.R. 1256, the Swap Jurisdiction Certainty Act H.R. 1341, the Financial Competitive Act of 2013 (all provisions) Draft Senate legislation to exempt commercial banks from municipal advisor regulation Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year.

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2013

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 21, 2013. Original Filing: 300601966.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) S. 731, the Basel III CASE Act (all provisions) S. 737, the Basel III Impact Study Act (all provisions) S. 798, the Terminating Bailouts for Taxpayer Fairness Act of 2013 (all provisions)S. 710, the Municipal Advisors Relief Act of 2013 (all provisions to exempt commercial banks and savings and loan associations from the Dodd-Frank Act provisions requiring regulation of municipal advisors) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps) H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 1062, the SEC Regulatory Accountability Act (all provisions to require the SEC to do a thorough cost-benefit analysis before proposing a new regulation) H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions H.R.797, the Municipal Advisor Oversight Improvement Act of 2013 H.R. 1256, to require the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) to jointly adopt rules setting forth the application of Title VII of the Dodd-Frank Act to cross-border transactions H.R. 1341, the Financial Competitive Act of 2013 (all provisions) H.R. 3036, the Systemic Risk Designation Improvement Act of 2013 (all provisions) Draft Senate legislation to exempt commercial banks from municipal advisor regulation Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year.

Agencies Lobbied

Type of Issue

2nd Quarter, 2013

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 18, 2013. Original Filing: 300575552.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2013

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 19, 2013. Original Filing: 300556588.xml

Lobbying Issues

S.474, the Swaps Regulatory Improvement Act (all provisions) H.R. 634, Business Risk Mitigation and Price Stabilization Act of 2013 (provisions to clarify that end users would not be subject to margin requirements for un-cleared swaps)H.R. 992, the Swaps Regulatory Improvement Act (all provisions) H.R. 1003, to provide for a full assessment of the costs and benefits of Commodity Futures Trading Commission (CFTC) regulations H.R. 677, the Inter-Affiliate Swap Clarification Act (all provisions Discussion Draft of the Swap Jurisdiction Certainty Act (all provisions) Draft legislation that would require the Treasury Department to determine which commercial banks, investment banks, hedge funds, and insurance companies are too-big-to-fail, and to break up those institutions within one year. H.R.797 : Municipal Advisor Oversight Improvement Act of 2013 Draft Senate legislation to exempt commercial banks from municipal advisor regulation

Agencies Lobbied

Type of Issue

4th Quarter, 2012

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 17, 2013. Original Filing: 300531838.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S. 2223, a bill to address the implementation of certain prohibitions under the Bank Holding Company Act of 1956, and for other purposes (all provisions) S. 3492, A bill to provide exemptions from municipal advisor registration requirements (all provisions)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 (all provisions) H.R. 2827, to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors and for other purposes H.R. 3283, the Swap Jurisdiction Certainty Act (all provisions) H.R. 4235, to amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts (all provisions) H.R. 6524, To make improvements to provisions of the Bank Holding Company Act of 1956 relating to proprietary trading by banking entities. Proposal to Implement Basel III Capital Standards Proposal to implement the Volcker Rule under the Dodd-Frank Act

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2012

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 19, 2012. Original Filing: 300512330.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S. 2223, a bill to address the implementation of certain prohibitions under the Bank Holding Company Act of 1956, and for other purposes (all provisions) S.R. 3492, A bill to provide exemptions from municipal advisor registration requirements (all provisions)H.R. 1539, the Asset-Backed Market Stabilization Act of 2011 (all provisions) 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 (all provisions) H.R. 2827, to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors and for other purposes H.R. 3128, to amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of smaller institutions from capital deductions (all provisions) H.R. 3283, the Swap Jurisdiction Certainty Act (all provisions) H.R. 4235, to amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts (all provisions) H.R. 6524, To make improvements to provisions of the Bank Holding Company Act of 1956 relating to proprietary trading by banking entities. Proposal to implement the Volcker Rule under the Dodd-Frank Act

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2012

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 16, 2012. Original Filing: 300485387.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S. 1151, the Personal Data Privacy and Security Act of 2011 (all provisions, including those to exclude GLBA institutions from data security and consumer notice requirements) S. 1207, the Data Security and Breach Notification Act of 2011 (all provisions, including data security and consumer notice requirements)S. 1408, the Data Breach Notification Act of 2011 (all provisions, including data security and consumer notice requirements) S. 1434, the Data Security Act of 2011, (all provisions, including data security and consumer notice requirements) S. 1535, the Personal Data Protection and Breach Accountability Act of 2011 (all provisions, including data security and consumer notice requirements) S. 2160, the Financial Institutions Examination Fairness and Reform Act (all provisions) H.R. 1539, the Asset-Backed Market Stabilization Act of 2011 (all provisions) 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 (all provisions) H.R. 2577, the SAFE Data Act (all provisions, including those to exclude GLBA institutions from data security and consumer notice requirements) H.R. 2827, to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors and for other purposes H.R. 3283, the Swap Jurisdiction Certainty Act (all provisions) H.R. 3461, the Financial Institutions Examination Fairness and Reform Act (all provisions) H.R. 4235, to amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts (all provisions) H.R. 5860, the Executive Compensation Clawback Full Enforcement Act (all provisions) Proposal to implement the Volcker Rule under the Dodd-Frank Act

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S. 1506, to prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. S. 1787, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) H.J. Res. 108, Providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rules submitted by the Department of the Treasury and the Internal Revenue Service relating to the reporting requirements for interest that relates to deposits maintained at United States offices of certain financial institutions and is paid to certain nonresident alien individuals. H.R. 2568, a bill To prevent the Secretary of the Treasury from expanding United States bank reporting requirements with respect to interest on deposits paid to nonresident aliens. H.R. 3313, the Wall Street Trading and Speculators Tax Act (provisions to impose a 3-basis-point tax on financial trading transactions) H.R. 4348 (tax haven provision to prohibit U.S. banks from accepting wire transfers or credit cards from certain foreign banks)

Agencies Lobbied

Type of Issue

1st Quarter, 2012

Amendment

American Bankers Association Securities Association (ABASA) amended a lobbying report for in-house lobbying in Q12012 on April 20, 2012 Original Filing: 300475310.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2012

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 20, 2012. Original Filing: 300474549.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2011

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 19, 2012. Original Filing: 300455298.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2011

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 19, 2012. Original Filing: 300444050.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2011

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 17, 2011. Original Filing: 300415079.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2011

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 20, 2011. Original Filing: 300403363.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2011

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 19, 2011. Original Filing: 300369484.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2010

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 20, 2011. Original Filing: 300349243.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

3rd Quarter, 2010

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 20, 2010. Original Filing: 300322765.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

2nd Quarter, 2010

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 16, 2010. Original Filing: 300289668.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2010

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 20, 2010. Original Filing: 300271555.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2009

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 19, 2010. Original Filing: 300236962.xml

Lobbying Issues

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

Agencies Lobbied

Type of Issue

3rd Quarter, 2009

Q3 Report

In Q3, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Oct. 20, 2009. Original Filing: 300217014.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

S.344 Hedge Fund Transparency Act S. 360, the Cap Executive Officer Pay Act of 2009 (all provisions) S. 605, A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activitiesS. 651, the Compensation Fairness Act of 2009 (all provisions) S. 1540, the Resolution Reform Act of 2009 (all provisions) S.1074 : A bill to provide shareholders with enhanced authority over the nomination, election, and compensation of public company executives. H.R. 302, To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities H.R.711, Hedge Fund Adviser Registration Act of 2009 H.R. 977, the Derivatives Markets Transparency Accountability Act H.R. 1406, To direct the Securities and Exchange Commission to reinstate the "uptick rule" on short sales of securities and to suspend the application of mark-to-market accounting principles H.R. 1575, the End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act (all provisions) H.R. 1664, To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards. H.R. 3068, the TARP for Main Street Act of 2009 (all provisions) H.R. 3126, the Consumer Financial Protection Agency Act (all provisions) H.R. 3269, the Corporate and Financial Institution Compensation Fairness Act (all provisions) H.R. 3594, the TARP Recipient Ownership Trust Act of 2009 (all provisions) Administration Proposal to Restructure Financial Services Regulation (all provisions) Administration Proposal on Systemic Risk Regulation (all provisions) H.R. 3795, The Over-the Counter Derivatives Markets Act of 2009

Agencies Lobbied

Type of Issue

2nd Quarter, 2009

Q2 Report

In Q2, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on July 20, 2009. Original Filing: 300189642.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

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

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

1st Quarter, 2009

Q1 Report

In Q1, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on April 20, 2009. Original Filing: 300159078.xml

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

Lobbying Issues

Agencies Lobbied

Type of Issue

4th Quarter, 2008

Amendment

American Bankers Association Securities Association (ABASA) amended a lobbying report for in-house lobbying in Q42008 on Jan. 20, 2011 Original Filing: 300350203.xml

Lobbying Issues

Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 of the Mortgage Reform and Anti-Predatory Legacy Act of 2007 (all provisions); S2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions); List continues on page 3. S.761, America Competes Act (Section 5007) HR 1171, Money Makert Fund Parity Act of 2007 (all provisions) HR 3225, Mutual Fund Sec Reform Act (all provisions) S. 1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) HR 2834, to amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) HR 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 HR 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) HR 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions) HR 1424, the Emergency Economic Stabilization Act of 2008 (all procisions including Treasury asset-purchase proposal, business tax provisons, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) S. 2169 the Promoting Refinancing Opportunities for Mortgages Impacted by the Subprime Emergency Act of 2007 (all provisions) S. 2636 The Foreclosure Prevention Act of 2008 Proposals to address anticipated mortgage foreclosures Proposals to address anticipated mortgage foreclosures Proposals to address predatory lending practices int eh subprime mortgage market H.R. 6659 The Equal Treatment of Covered Bonds Act of 2008 S. 3268, The Commodity Markets Transparency and Accountability Act of 2008 HR 6604, The Commodity Markets Transparency and Accountability Act of 2008 HR 3691, A bill to Amend the Commodity Exchange Act to require reporting and record keeping for positions involving credit default swaps, to grow the Federal Reserve Board authority over investment-bank holding companies, and for other purposes.

Agencies Lobbied

Type of Issue

4th Quarter, 2008

Q4 Report

In Q4, American Bankers Association Securities Association (ABASA) had in-house lobbyists. The report was filed on Jan. 16, 2009. Original Filing: 300124526.xml

Lobbying Issues

Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti-Predatory Legacy Act of 2007 (all provisions); S2452, the Home Ownership Preservation and Protection Act of 2007(all provisions); List continues on Page 3.S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions) H.R. 1424, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) H.R. 3997, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) S. 2169 the Promoting Refinancing Opportunities for Mortgages Impacted by the Subprime Emergency Act of 2007 (all provisions) S. 2636 The Foreclosure Prevention Act of 2008 Proposals to address anticipated mortgage foreclosures Proposals to address predatory lending practices in the subprime mortgage market H.R. 6659 The Equal Treatment of Covered Bonds Act of 2008 S. 3268, The Commodity Markets Transparency and Accountability Act of 2008 H.R. 6604. the Commodity Markets Transparency and Accountability Act of 2008 H.R. 3691 A bill to Amend the Commodity Exchange Act to require reporting and record keeping for positions involving credit default swaps, to grow the Federal Reserve Board authority over investment-bank holding companies, and for other purposes.

Agencies Lobbied

Type of Issue

3rd Quarter, 2008

Q3 Report

In Q3, AMERICAN BANKERS ASSN SECURITIES (ABASA) had in-house lobbyists. The report was filed on Oct. 17, 2008. Original Filing: 300099300.xml

Lobbying Issues

Proposals to amend Sector 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti-Predatory Legacy Act of 2007 (all provisions); S2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions); List continues on Page 3.S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions) H.R. 1424, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions) H.R. 3997, the Emergency Economic Stabilization Act of 2008 (all provisions including Treasury asset-purchase proposal, business tax provisions, FDIC coverage, SEC Rules, accounting provisions, revenue offsets, GSE preferred stock tax accounting rules, proposed bankruptcy provisions)

Agencies Lobbied

Type of Issue

2nd Quarter, 2008

Q2 Report

In Q2, AMERICAN BANKERS ASSN SECURITIES (ABASA) had in-house lobbyists. The report was filed on July 21, 2008. Original Filing: 300078541.xml

Lobbying Issues

Proposals to amend Sector 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti- Predatory Legacy Act of 2007 (all provisions); S 2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions). List continues on page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761, Terrorism Risk Insurance Revision and Extension Act of 2007 H.R. 5720, Housing Assistance Tax Act of 2008 (all provisions) Municipal Securities Markets Mutual Recognition Regulatory Restructuring (Securities and Commodities Issues) H.R. 5715, Ensuring Continued Access to Student Loans Act of 2008 (all provisions)

Agencies Lobbied

Type of Issue

1st Quarter, 2008

Q1 Report

In Q1, AMERICAN BANKERS ASSN SECURITIES (ABASA) had in-house lobbyists. The report was filed on April 21, 2008. Original Filing: 300047953.xml

Lobbying Issues

Proposals to amend S 10(b) of the Securities Exchange Act of 1934 with respect to aiding and abetting liability; Proposals on Estate and Gift Tax Reform; Proposal to require cost-basis reporting; Elimination of Soft Dollars; HR 3915 the Mortgage Reform and Anti- Predatory Legacy Act of 2007 (all provisions); S 2452, the Home Ownership Preservation and Protection Act of 2007 (all provisions). List continues on page 3. S.761, America Competes Act (Section 5007) H.R. 1171, Money Market Fund Parity Act of 2007 (all provisions) H.R. 3225, Mutual Fund Sec Reform Act (all provisions) S.1624, A bill to amend the Internal Revenue Code of 1986 to provide that the exception from treatment of publicly traded partnerships as corporations for partnerships with passive-type income shall not apply to partnerships directly or indirectly deriving income from providing investment adviser and related asset management services (all provisions) H.R. 2834, To amend the Internal Revenue Code of 1986 to treat income received by partners for performing investment management services as ordinary income received for the performance of services (all provisions) H.R. 2761 Terrorism Risk Insurance Revision and Extension Act of 2007 Municipal Securities Markets Mutual Recognition

Agencies Lobbied

Type of Issue

Source: Clerk of the U.S. House of Representatives and Secretary of the Senate

Legislators

Bills

Statements

Lobbying

Travel

Lobbyists

Disclosures Filed