CORRECTION AFFIDAVIT FOR LOBBYIST/NON-REGISTRANT SECTION I: BASIC GUIDELINES All Reports: A filer who files a corrected or amended report must submit a correction affidavit. The affidavit must identify the information that has changed or is being amended. Reports filed with the City of Dallas: A corrected report filed with the City of Dallas after its initial due date is not considered late if: (1) any error or omission in the report as originally filed was made in good faith, and (2) the person filing the report files a corrected/amended report and a correction affidavit after the person learns that the report as originally filed is inaccurate or incomplete. Attach additional pages as necessary. SECTION II: INSTUCTIONS ON COMPLETING THIS AFIDAVIT 1. Lobbyist/Non Registrant Enter your name in the same way as on the report you are correcting. 2. Total Pages Filed: After completing the form and any attachments, count the number of pages and enter in this box. 3. File Number: When filing a report, you received a registration or a file number at the top of your report. Please include that file number for which you are filing a correction or amendment. 4. Explanation of Correction: Attach any information that is applicable to the correction or amendment. Explain the error on the original report. Also explain what information is being corrected or amended and how the new information is different (use additional pages if needed). 5. Affidavit: Read the affidavit before submitting it. Once submitted, it cannot be changed. If a mistake is made, another form must be filed to correct it. SECTION II: CORRECTION OR AMENDMENT 1 LOBBYIST/NON REGISTRANT 2 TOTAL PAGES NAME Credit Suisse Securities (USA) LLC FILED 5 3 FILE NUMBER 2011071510352933 DATE 1/23/2012 4 EPLANATION OF CORRECTION OR AMENDMENT: Lobbyist name should be SECTION III: STATEMENT OF AFFIRMATION 5 AFFIDAVIT BY FILING THIS CORRECTION AFFIDAVIT, I SWEAR OR AFFIRM UNDER PENALTY OF PERJURY THAT, TO THE BEST OF MY KNOWLEDGE, ALL INFORMATION CONTAINED IN THE CORRECTION AFFIDAVIT IS TRUE AND CORRECT. YES NO OFFICE OF THE CITY SECRETARY rev. 06/01/2010 DALLAS, T 75201
REGISTRANT NAME: Credit Suisse Securities (USA) LLC REGISTRATION NUMBER: 2011071510352933 FILING DATE: 1/23/2012 SECTION I: BASIC GUIDELINES Each registrant shall file with the city secretary a report concerning the registrant's lobbying activities for each client from whom, or with respect to whom, the registrant received compensation of, or expended, monies for lobbying during the prior calendar quarter. The activity report for the preceding calendar quarter must be filed between the first and 15th day of April, July, October, or January. A separate activity report is required for each client. No fee is required to file a quarterly activity report. Records relating to this activity report must be maintained by the registrant for two years after the filing date. SECTION II: REGISTRANT INFORMATION Credit Suisse Securities (USA) LLC Address: One Madison Avenue City/St/Zip: New York, NY 10010 Address: Telephone: Nature of Business: Asset Management Form of Business: Individual Corporation Partnership Other If Other, describe: SECTION III: INFORMATION ON FILER IF REGISTRANT IS NOT AN INDIVIDUAL (MUST BE AUTHORIZED OFFICER OR AGENT OF REGISTRANT) Address: One Madison Avenue City/St/Zip: New York, NY 10010 Address: Telephone: Position Held: Director OFFICE OF THE CITY SECRETARY 1
SECTION IV: INFORMATION ON LOBBYING FIRM FOR WHICH REGISTRANT IS AN AGENT OR EMPLOYEE (IF APPLICABLE) Firm Address: City/St/Zip: Address: Telephone: Nature of Firm s Business: SECTION V: NAME OF REGISTRANT S AGENT(S) OR EMPLOYEE(S) ACTING AS LOBBYIST(S) FOR CLIENT (IF APPLICABLE) SECTION VI: CITY OFFICIAL EMPLOYMENT BY REGISTRANT Is any city official or the official s immediate family member employed by the registrant? If yes, name of city official or city official s family member: Position held: OFFICE OF THE CITY SECRETARY 2
SECTION VII: CHANGES IN REGISTRANT INFORMATION Are there any changes or updates in the information provided in the most recent registration form filed by the registrant for the client pursuant to Section 12A-15.5, Chapter 12A of the Dallas City Code? If yes, describe changes: Yes No Client s SECTION VIII: CLIENT INFORMATION Credit Suisse Securities (USA) LLC One Madison Avenue New York, NY 10010 Address: City/St/Zip: Address: Telephone: (212) 325-8656 Nature of Client s Business: Form of Client s Asset Management Business: Individual Corporation Partnership Other If Other, describe: SECTION I: INFORMATION ON CLIENT S AUTHORIZED OFFICER OR AGENT IF CLIENT IS NOT AN INDIVIDUAL One Madison Avenue New York, NY 10010 Address: City/St/Zip: Address: Telephone: Position Held: Director SECTION : LIST MUNICIPAL QUESTIONS LOBBIED ON CLIENT S BEHALF IN PRECEDING CALENDAR QUARTER AND DESCRIBE LOBBYING CONTACT (SEE SCHEDULE F LOBBYING ACTIVITY FOR PRECEDING CALENDAR QUARTER) SECTION I: CONTINGENT FEE INFORMATION Is registrant lobbying for client on a contingent fee basis (whether through employment or another arrangement)? OFFICE OF THE CITY SECRETARY 3
SECTION II: DESCRIPTION OF GIFTS TO CITY OFFICIALS (SEE SCHEDULE G LOBBYIST GIFTS) Were gifts, benefits, and expenditures with a cumulative value of more than $25 made to, conferred upon, or incurred on behalf of a city official or his or her immediate family by the registrant (or by anyone acting on behalf of the registrant) in the preceding calendar quarter? If yes, itemize by date, item, city official, actual cost, and circumstances of the transaction on Schedule G - Lobbyist Gifts. SECTION III: DESCRIPTION OF ECHANGES MADE WITH CITY OFFICIAL S BUSINESS (SEE SCHEDULE H LOBBYIST ECHANGES) During the calendar quarter, were exchanges of money, goods, services, or anything of value made by the registrant (or anyone acting on behalf of the registrant) with any business entity: (1) in which a city official had a substantial economic interest, or (2) for which a city official served as a director or an officer; or in any other policy making position? If yes, was the total of such exchanges $250 or more in the calendar quarter? If yes, was the city official either: (1) lobbied by the registrant during the calendar quarter, or (2) serving on a board, commission or other city body that had appellate jurisdiction over the subject matter of the lobbying? If yes, itemize each exchange by date, business entity and address, city official, amount, and nature of transaction on Schedule H - Lobbyist Exchanges. SECTION IV : DESCRIPTION OF LOBBYING EPENDITURES Did registrant have cumulative lobbying expenditures of over $5,000 in preceding calendar quarter? Yes No If yes, separate expenditures into the following categories: Advertising and publications Compensation to other than full time employees Reimbursement to others Personal sustenance, lodging and travel, if reimbursed Other expenses SECTION V: STATEMENT OF AFFIRMATION ion III: CONTINGENT FEE INFORMATION BY FILING THIS QUARTERLY ACTIVITY REPORT, I SWEAR OR AFFIRM UNDER PENALTY OF PERJURY THAT, TO THE BEST OF MY KNOWLEDGE, ALL INFORMATION CONTAINED IN THE REPORT IS TRUE AND CORRECT AND THAT THE REPORT IS COMPLETE AND INCLUDES ALL INFORMATION REQUIRED TO BE DISCLOSED UNDER ARTICLE III-A, CHAPTER 12A OF THE DALLAS CITY CODE. YES NO OFFICE OF THE CITY SECRETARY 4