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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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5. Senate ID# 62596-12
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6. House ID# 354540000
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TYPE OF REPORT | 8. Year | 2013 |
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: Joseph Seidel, Managing Director |
Date | 07/22/2013 |
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
Terrence Thompson lobbied in the House only.
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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Margaret M. |
Gage |
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Jessica A. |
Mandel |
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Monique M. |
Michel |
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Terrence |
Thompson |
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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 the Dodd-Frank Wall Street Reform and Consumer Protection Act (PL 111-203)
Terrence Thompson lobbied in the House only.
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 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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Margaret M. |
Gage |
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Monique M. |
Michel |
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Jessica A. |
Mandel |
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Terrence |
Thompson |
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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
H.R. 677, Inter-Affiliate Swap Clarification Act
H.R. 992, Swaps Regulatory Improvement Act
H.R. 1003, To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders
H.R. 1256, Swap Jurisdiction Certainty Act
S.1217, Housing Refinance Reform and Taxpayer Protection Act of 2013
Federal Reserve Notice 75 FR 72741
Financial Services Oversight Council Notice 75 FR 61758
Proposed changes to rules on SEC standards for broker/dealers
CFTC Proposed Rule: 78 FR 909 17 CFR Chapter I- Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
CFTC Proposed Rule: 77 FR 41110 17 CFR Chapter I- Exemptive Order Regarding Compliance With Certain Swap Regulations
CFTC Proposed Rule: 77 FR 41213 17 CFR Chapter I- Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1
CFTC - Core principles and other requirements for swap execution facilities (76 FR 1213)
CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666)
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 )
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 (76 FR 58186)
SEC - Proposed rule - Registration of Municipal 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 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
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
Terrence Thompson lobbied in the House only.
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, Federal Deposit Insurance Commission (FDIC)
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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Margaret M. |
Gage |
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Monique M. |
Michel |
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Jessica A. |
Mandel |
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Terrence |
Thompson |
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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 | 3 | 5 |
2 | 4 | 6 |
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 | 5 | 9 |
2 | 6 | 10 |
3 | 7 | 11 |
4 | 8 | 12 |