CREDIT SUISSE SECURITIES (USA) for CREDIT SUISSE SECURITIES (USA)

Banking BAN

Implementation of PL 111-203

Foreign entity interest: Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC and, as such, has an interest in the issues lobbied.

Contacted: Treasury, Dept of; Federal Reserve System; Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES; Commodity Futures Trading Commission (CFTC); Natl Economic Council (NEC); Office of the Comptroller of the Currency (OCC); Internal Revenue Service (IRS); Federal Deposit Insurance Corporation (FDIC); SENATE

Taxation/Internal Revenue Code TAX

Implementation of Foreign Account Tax Compliance Act (FATCA) & related international tax issues H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010

Foreign entity interest: Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC and, as such, has an interest in the issues lobbied.

Contacted: Office of the Comptroller of the Currency (OCC); Internal Revenue Service (IRS); Federal Reserve System; Federal Deposit Insurance Corporation (FDIC); Commodity Futures Trading Commission (CFTC); Securities & Exchange Commission (SEC); Natl Economic Council (NEC); HOUSE OF REPRESENTATIVES; SENATE; Treasury, Dept of

Bills named: H.R. 4213 (112th)

Financial Institutions/Investments/Securities FIN

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

Foreign entity interest: Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC and, as such, has an interest in the issues lobbied.

Contacted: Office of the Comptroller of the Currency (OCC); Federal Reserve System; Commodity Futures Trading Commission (CFTC); Natl Economic Council (NEC); Federal Deposit Insurance Corporation (FDIC); Treasury, Dept of; Securities & Exchange Commission (SEC); SENATE; HOUSE OF REPRESENTATIVES; Internal Revenue Service (IRS)

Bills named: H.R. 1840 (112th), H.R. 3045 (112th), H.R. 1838 (112th), H.R. 2586 (112th), H.R. 1573 (112th)