Clerk of the House of Representatives
Legislative Resource Center
B-106 Cannon Building
Washington, DC 20515 http://lobbyingdisclosure.house.gov
Secretary of the Senate
Office of Public Records
232 Hart Building
Washington, DC 20510 http://www.senate.gov/lobby
LOBBYING REPORT
Lobbying Disclosure Act of 1995 (Section 5)
- All Filers Are Required to Complete This Page
1. Registrant Name Organization/Lobbying Firm Self Employed Individual
INTERNATIONAL SWAPS & DERIVATIVES ASSOCIATION INC.
2. Address
Address1
360 MADISON AVE, 16TH FLOOR
Address2
City
NEW YORK
State
NY
Zip Code
10017
Country
USA
3. Principal place of business (if different than line 2)
City
State
Zip Code
Country
4a. Contact Name
b. Telephone Number
c. E-mail
Mrs.
Mary Johannes
2027564541
MJohannes@isda.org
5. Senate ID#
20050-12
7. Client Name
Self
Check if client is a state or local government or instrumentality
INTERNATIONAL SWAPS & DERIVATIVES ASSOCIATION INC.
6. House ID#
309340000
TYPE OF REPORT
8. Year
2010
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
12. Lobbying
13. Organizations
INCOME relating to lobbying activities
for this reporting period was:
EXPENSE relating to lobbying activities
for this reporting period were:
Less than $5,000
Less than $5,000
$5,000 or more
$
$5,000 or more
$
610,000.00
Provide a good faith estimate, rounded to the nearest
$10,000,
of all lobbying related income from 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: Huzefa Deesawala, Head of Finance
Date
04/15/2010
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
CFMA related legislation, Over The Counter Derivatives Market, Restoring American Financial Stability Act and H.R.4173
17. House(s) of Congress and Federal agencies
Check if None
Commodity Futures Trading Commission (CFTC), Federal Reserve System, Securities & Exchange Commission (SEC), Treasury - Dept of, U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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
Mary
Johannes
Robert
Pickel
19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None
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
CFMA related legislation, Over The Counter Derivatives Market, Restoring American Financial Stability Act and H.R.4173
17. House(s) of Congress and Federal agencies
Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Federal Reserve System, Securities & Exchange Commission (SEC), 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
Robert
Pickel
Mary
Johannes
19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None
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 ENG
16. Specific lobbying issues
CFMA related legislation, Over The Counter Derivatives Market, Restoring American Financial Stability Act and H.R.4173
17. House(s) of Congress and Federal agencies
Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Federal Reserve System, Securities & Exchange Commission (SEC), Treasury - Dept of, Federal Trade Commission (FTC)
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
Robert
Pickel
Mary
Johannes
19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None
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
Amendment to Commodities Exchange Act, CFMA related legislation, Securities Act of 1932, Securities Exchange Act of 1934, Restoring American Financial Stability Act and H.R.4173
17. House(s) of Congress and Federal agencies
Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Federal Reserve System, Treasury - Dept of, White House Office
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
Mary
Johannes
Robert
Pickel
19. Interest of each foreign entity in the specific issues listed on line 16 above
Check if None
Information Update Page - Complete ONLY where
registration information has changed.
20. Client new address
Address
City
State
Zip Code
Country
21. Client new principal place of business (if different than line 20)
City
State
Zip Code
Country
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
First Name
Last Name
Suffix
First Name
Last Name
Suffix
1
23
2
24
3
25
4
26
5
27
6
28
7
29
8
30
9
31
10
32
11
33
12
34
13
35
14
36
15
37
16
38
17
39
18
40
19
41
20
42
21
43
22
44
ISSUE UPDATE
24. General lobbying issue that no longer pertains
AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name
Address
Principal Place of Business
(city and state or country)
Street Address
City
State/Province
Zip
Country
Patton Boggs LLP
2550 M Street, N.W.
Washington
DC
20037
USA
City
State
Country
ABN Amro Bank
Gustav Mahlerlaan 10
Amsterdam
1082 PP
NED
City
State
Country
Bank of America Merrill Lynch
5 Canada Square
London
E14 5AQ
GBR
City
State
Country
Calyon Corporation
9 Quai du President Paul Doumer
Paris
92920
FRA
City
State
Country
Cargill Financial Services Corp.,
12700 Whitewater Drive
Minnetonka
MN
55343
USA
City
State
Country
Citigroup
390 Greenwich Street
New York
NY
10013
USA
City
State
Country
Credit Suisse
One Cabot Square, Canary Wharf
London
E14 4QJ
GBR
City
State
Country
Deutsche Bank
1 Great Winchester Street
London
EC2N 2D
GBR
City
State
Country
Goldman Sachs & Company
1 New York Plaza
New York
NY
10006
USA
City
State
Country
HSBC Holdings plc
109, Avenue des Champs Elysees
Paris
75419
FRA
City
State
Country
J.P.Morgan Chase & Co
270 Park Avenue
New York
NY
10017
USA
City
State
Country
Morgan Stanley & Co.
1585 Broadway
New York
NY
10036
USA
City
State
Country
UBS AG
677 Washington Boulevard
Stamford
CT
06901
USA
City
State
Country
Wells Fargo Bank
417 Montgomery Street
San Francisco
CA
94104
USA
City
State
Country
Barclays Capital
5 The North Colonnade, Canary Wharf
London
E14 4BB
GBR
City
State
Country
Kirkland & Ellis
153 E. 53rd Street
New York
NY
10022
USA
City
State
Country
Koch Industries
4111 E. 37th Street North
Wichita
KS
67220
USA
City
State
Country
Man Financial Group
Sugar Quay, Lower Thames Street
London
EC3 R6D
GBR
City
State
Country
Prudential Global Funding LLC
100 Mulberry Street, 2 Gateway Center
Newark
NJ
07102
USA
City
State
Country
26. Name of each previously reported organization that is no longer affiliated
with the registrant or client
1 Wachovia Corporation
12
23
2
13
24
3
14
25
4
15
26
5
16
27
6
17
28
7
18
29
8
19
30
9
20
31
10
21
32
11
22
33
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
Street Address
City
State/Province
Country
City
State
Country
%
28. Name of each previously reported foreign entity that no longer owns,
or controls, or is affiliated with the registrant, client or affiliated organization