3rd Quarter - Report

UBS AMERICAS INC. for UBS AMERICAS INC

Firm
Client
Income
—
Expenses
$90,000
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 H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements and fiduciary standards)

Foreign entity interest: UBS AG has an interest in the regulatory implementation of H.R. 4173, Dodd-Frank Wall Street Reform Act (swap provisions, extra-territoriality application, margin requirements, end-user impact, swap execution facility definitions, capital requirements, and fiduciary standards)

LobbyistCovered position, as disclosed
ANANIAS BLOCKER —
LAURA FROEHLICH —
PETER ROWAN —
JOHN SAVERCOOL —

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

Bills named: H.R. 4173 (112th)

Taxation/Internal Revenue Code TAX

H.R. 2847 - Hiring Incentives to Restore Employment Act, Title V, all provisions pertaining to the implementation of the Foreign Account Tax Compliance Act (FATCA). Proposals to implement a financial transaction tax.

Foreign entity interest: UBS AG has an interest in H.R. 2847 - Hiring Incentives to Restore Employment Act, Title V, all provisions pertaining to the implementation of the Foreign Accounts Tax Compliance Act (FATCA).

LobbyistCovered position, as disclosed
PETER ROWAN —

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

Bills named: H.R. 2847 (112th)

Foreign entities

Foreign owners and affiliates the filer disclosed. Amounts are as declared on this filing.

EntityCountryPrincipal place of businessOwnershipContribution declared
UBS AG Switzerland Switzerland 100.0% —

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.