UBS AMERICAS INC. for UBS AMERICAS INC
Versions of this report
Every filing the register holds for this firm, client and period, oldest first. The most recent one is the version LegiList counts.
| Filing | Filed | Amount | Counted |
|---|---|---|---|
| 3rd Quarter - Report | Oct 21, 2013 | $140,000 | Replaced |
| 3rd Quarter - Amendment (this page) | Oct 21, 2013 | $140,000 | Yes |
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-AB32- Definition of the term "Fiduciary" - Department of Labor Employee Benefits Security Administration.
Foreign entity interest: UBS AG has an interest in the regulator 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).
| Lobbyist | Covered position, as disclosed |
|---|---|
| ANANIAS BLOCKER | — |
| LAURA FROEHLICH | — |
| PETER ROWAN | — |
| JOHN SAVERCOOL | — |
Taxation/Internal Revenue Code TAX
Proposals to implement a financial transaction tax. Proposals to limit the tax exclusion for municipal bond interest.
| Lobbyist | Covered position, as disclosed |
|---|---|
| PETER ROWAN | — |
Foreign entities
Foreign owners and affiliates the filer disclosed. Amounts are as declared on this filing.
| Entity | Country | Principal place of business | Ownership | Contribution 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.