1st Quarter - Report

UBS AMERICAS INC. for UBS AMERICAS INC

Firm
Client
Income
—
Expenses
$110,000
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 definition, capital requirements and fiduciary standards). Measures considered by the Securities and Exchange Commission pertaining to market structure issues. 29 CFR Part 2510, RIN, 1210-AB-32-Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration. Legislation to amend the Investment Company Act of 1940 to extend coverage to companies in U.S. territories.

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 definitions, capital requirements and fiduciary standards).

LobbyistCovered position, as disclosed
SHANE LIEBERMAN —
JOHN NOLAN —
JOHN SAVERCOOL —

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

Bills named: H.R. 4173 (114th)

Taxation/Internal Revenue Code TAX

Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.

LobbyistCovered position, as disclosed
SHANE LIEBERMAN —

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

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.