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

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) 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

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

Bills named: H.R. 1838 (112th), H.R. 3283 (112th), H.R. 1573 (112th), S. 2112 (112th), H.R. 1840 (112th), H.R. 3045 (112th), H.R. 2586 (112th)

Taxation/Internal Revenue Code TAX

International tax reform Domestic U.S. tax reform

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