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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1201 F STREET, NW, #450 |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20004 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 62596-12
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6. House ID# 354540000
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TYPE OF REPORT | 8. Year | 2012 |
Q1 (1/1 - 3/31) | Q2 (4/1 - 6/30) | Q3 (7/1 - 9/30) | Q4 (10/1 - 12/31) |
9. Check if this filing amends a previously filed version of this report
10. Check if this is a Termination Report | Termination Date | |
11. No Lobbying Issue Activity |
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
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12. Lobbying | 13. Organizations | ||||||||
INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
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Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). | 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options. | ||||||||
Method A.
Reporting amounts using LDA definitions only
Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code Method C. Reporting amounts under section 162(e) of the Internal Revenue Code |
Signature | Digitally Signed By: Michael W. Williams, Managing Director |
Date | 10/10/2012 |
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code TAX
16. Specific lobbying issues
International tax reform
Domestic tax reform
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Internal Revenue Service (IRS), Treasury - Dept of
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Joseph L. |
Seidel |
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Michael W. |
Williams |
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Jessica A. |
Mandel |
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Margaret M. |
Gage |
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Monique M. |
Michel |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC, and, as such, has an interest in the issues lobbied.
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code BAN
16. Specific lobbying issues
Implementation of PL 111-203
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Treasury - Dept of, Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Commission (FDIC), Federal Reserve System
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Joseph L. |
Seidel |
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Michael W. |
Williams |
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Jessica A. |
Mandel |
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Margaret M. |
Gage |
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Monique M. |
Michel |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC, and, as such, has an interest in the issues lobbied.
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code FIN
16. Specific lobbying issues
Proposed rule changes of ATS Rlease No. 34-63241; File No. S7-03-10
Proposed changes to Regulation AB - Release Nos. 33-9917; 34-61858; File No. S7-08-10
PL 111-203
Federal Resrve Notice 75 FR 72741
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
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury - Dept of, Federal Reserve System, Natl Economic Council (NEC)
18. Name of each individual who acted as a lobbyist in this issue area
First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Joseph L. |
Seidel |
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Michael W. |
Williams |
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Jessica A. |
Mandel |
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Margaret M. |
Gage |
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Monique M. |
Michel |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Credit Suisse AG is the parent company to Credit Suisse Securities (USA) LLC, and, as such, has an interest in the issues lobbied.
Information Update Page - Complete ONLY where registration information has changed.
20. Client new address
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21. Client new principal place of business (if different than line 20)
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22. New General description of client’s business or activities
LOBBYIST UPDATE
23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client
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ISSUE UPDATE
24. General lobbying issue that no longer pertains
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name | Address |
Principal Place of Business (city and state or country) |
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
1 | 2 | 3 |
FOREIGN ENTITIES
27. Add the following foreign entities:
Name | Address |
Principal place of business (city and state or country) |
Amount of contribution for lobbying activities | Ownership percentage in client | ||||||||||
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% |
28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization
1 | 3 | 5 |
2 | 4 | 6 |