4th Quarter - Report

UBS AMERICAS INC. for UBS AMERICAS INC

Firm
Client
Income
—
Expenses
$210,000
Expense method
A: Lobbying Disclosure Act definitions

What was lobbied

2 issue areas, each in the filer's own words, with who lobbied on it and where.

Financial Institutions/Investments/Securities FIN

Regulatory Implementation of Dodd-Frank Wall Street Reform Act (including swap rules, capital and other prudential requirements, Volcker Rule and fiduciary standards). Financial regulatory reform legislation. Measures considered by the Securities and Exchange Commission pertaining to market structure issues and fiduciary/best interest standards for brokers. Legislation on industrial loan company charters. Legislation on digital asset regulation.

Foreign entity interest: UBS AG has an interest in the regulatory implementation of Dodd-Frank Wall Street Reform Act (including swaps rules, capital and other prudential requirements, Volcker Rule and fiduciary standards).

LobbyistCovered position, as disclosed
SHANE LIEBERMAN —
JOHN NOLAN —

Contacted: Labor, Dept of (DOL); Treasury, Dept of; Federal Reserve System; HOUSE OF REPRESENTATIVES; Commodity Futures Trading Commission (CFTC); SENATE; Securities & Exchange Commission (SEC)

Taxation/Internal Revenue Code TAX

Issues related to the taxation of bonds, Net Operating Loss, Base Erosion Anti-Abuse Tax (BEAT) and international tax issues, Corporate Alternative Minimum Tax (CAMT), and Donor Advised Funds.

LobbyistCovered position, as disclosed
SHANE LIEBERMAN —
JOHN NOLAN —

Contacted: Treasury, Dept of; SENATE; HOUSE OF REPRESENTATIVES

Shown as published by the Senate Office of Public Records and the House Clerk under the Lobbying Disclosure Act. The official filing is the record; open it for the full form.