Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

9. Check if this filing amends a previously filed version of this report

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

Legislative oversight of implementation of Titles I, II, IV, VII, and IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Legislative oversight of implementation of the Jumpstart Our Business Startups Act of 2012.

Regulation and oversight of investment advisers.

Financial services regulatory reform in non-U.S. jurisdictions.

Equity market structure issues including electronic trading and algorithmic trading.

Capital formation legislation.

Hart-Scott-Rodino modernization.

Protection for sensitive and proprietary data.

Legislation to prohibit the Securities and Exchange Commission from compelling a person to produce or furnish algorithmic trading source code or similar intellectual property to the Commission unless the Commission first issues a subpoena.

Legislation concerning short sale disclosure.

H.R. 2534 - to amend the Securities Exchange Act of 1934 to prohibit certain securities trading and related communications by those who possess material, nonpublic information.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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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

Legislative oversight of implementation of The Tax Cuts and Jobs Act.

Carried Interest/Enterprise Value

S.1639 - Ending the Carried Interest Loophole Act

H.R. 1735 - Carried Interest Fairness Act of 2019

International tax reform.

Taxation of pass-through entities.

Taxation of financial products.

Limitations on deductions including interest expense.

864(b) of the Internal Revenue Code - safe harbor for investment in U.S. securities and other assets by non-U.S. investors.

Unrelated Business Income Tax (UBIT)

Section 451(b) of the Internal Revenue Code.

Legislative oversight of implementation of rules under 871(m) of the Internal Revenue Code.

Financial Transaction Tax

S. 2589 - to amend the Internal Revenue Code of 1986 to restore the limitation on downward attribution of stock ownership in applying the constructive ownership rules to controlled foreign corporations.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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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 AGR

16. Specific lobbying issues

Legislative oversight of implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Commodities and derivatives regulatory reform in non-U.S. jurisdictions.

Commodities and derivatives regulatory reform issues, including:
-Protection of customer collateral;
-Oversight of commodity pool operators;
-Protections for sensitive and proprietary data;
-Position limits;
-International coordination;
-CFTC/SEC coordination of CTA, CPO oversight and data collection.

Legislation to prohibit the Commodity Futures Trading Commission from compelling a person to produce or furnish algorithmic trading source code or similar intellectual property to that agency unless the agency first issues a subpoena.

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

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Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

21. Client new principal place of business (if different than line 20)

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

ISSUE UPDATE

24. General lobbying issue that no longer pertains

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

FOREIGN ENTITIES

27. Add the following foreign entities:

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

CONVICTIONS DISCLOSURE

29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery, extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
No Yes