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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 101 CONSTITUTION AVE., NW #912 WEST |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
City | Minneapolis |
State | MN |
Zip Code | 55474 |
Country | USA |
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5. Senate ID# 302313-12
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6. House ID# 378270000
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TYPE OF REPORT | 8. Year | 2014 |
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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
Date | 04/21/2014 |
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 CPT
16. Specific lobbying issues
H.R. 845 Saving High-Tech Innovators from Egregious Legal Disputes Act of 2013; entire bill
H.R. 3309 the Innovations Act of 2013; entire bill
S. 1013 - Abuse Reduction Act of 2013; entire bill
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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
H.R. 624 Cyber Intelligence Sharing and Protection Act; provisions relating to the financial services sector
H.R. 797 Municipal Advisor Oversight Improvement Act of 2013; provisions relating to financial advisers
H.R. 1062 SEC Regulatory Accountability Act of 2013; entire bill
H.R. 1627 The Investment Adviser Examination Improvement Act of 2013; entire bill
H.R. 2374 Retail Investor Protection Act; entire bill
H.R. 2733 Defending American Taxpayers From Abusive Government Takings Act of 2013; entire bill
H.R. 3482 Restoring Main Street investor Protection Act; entire bill
H.R. 3696 National Cybersecurity and Critical Infrastructure Protection Act of 2013; entire bill
H.R. 4167 Restoring Proven Financing for American Employers Act; entire bill
S. 21 Cybersecurity and American Cyber Competitiveness Act of 2013; provisions relating to the financial services sector
S. 1369 A bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance, and for other purposes; entire bill
S. 1927 Data Security Act of 2014; entire bill
S. 2102 A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act; entire bill
Need for greater transparency in the development of SIFI designation criteria and preparation of underlying government studies and data
Congressional support for the SEC moving forward on implementing Section 913 of Dodd-Frank and potential interplay with possible DOL regulatory activity
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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 INS
16. Specific lobbying issues
H.R. 508 - Terrorism Risk Insurance Act of 2002 Reauthorization Act of 2013 ; entire bill
H.R. 1155 National Association of Registered Agents and Brokers Reform Act of 2013 (NARAB II); entire bill
H.R. 1945 - Fostering Resilience to Terrorism Act of 2013; entire bill
H.R. 2146 Terrorism Risk Insurance Program Reauthorization Act of 2013 (TRIPRA); entire bill
H.R. 3370 - Homeowner Flood Insurance Affordability Act of 2013; entire bill
S. 534 National Association of Registered Agents and Brokers Reform Act of 2013; entire bill
S. 1926 A bill to delay the implementation of certain provisions of the Biggert-Waters Flood Insurance Reform Act of 2012 and to reform the National Association of Registered Agents and Brokers; provisions relating to the National Association of Registered Agents and Brokers
Regulatory activities on disparate impact and potential implications on homeowners insurance coverage
Ensuring that implementing rules for new Death Master File safeguards allow access by legitimate business users
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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 POS
16. Specific lobbying issues
S. 1486 Postal Reform Act of 2013; provisions relating to the preservation of the rate setting authority of the Postal Regulatory Commission
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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 RET
16. Specific lobbying issues
H.R. 837 Savings for American Families' Future Act of 2013; entire bill
H.R. 2035 - Automatic IRA Act of 2013; entire bill
H.R. 2117 the Retirement Plan Simplification and Enhancement Act; entire bill
H.R. 2171 The Lifetime Income Disclosure Act; entire bill
S. 606 - SEAL Act; entire bill
S. 1145 Lifetime Income Disclosure Act; entire bill
S. 1270 SAFE Retirement Act of 2013; entire bill
S. 1772 Public Good IRA Roll-over Act of 2013; entire bill
S. 1970 Retirement Security Act; entire bill
S. 1979 Universal, Secure, and Adaptable (USA Retirement Funds Act; entire bill
Importance of existing tax incentives for retirement security and potential negative implications of potential tax reform proposals or use or retirement savings as an offset in any budget agreement in terms of reducing qualified plan and annuities coverage (both qualified and nonqualified)
Potential SEC and DoL regulatory activity revising securities and ERISA rules governing fiduciary standards for the provisions of investment advice/financial education services, potential implications on qualified accounts (both 401(k)s and IRAs) and nonqualified long-term savings, small business coverage, and importance of coordinated and workable rules.
Not yet introduced: SAVE Act, provisions related to making SIMPLE IRAs more attractive for small business and expanded tax credit for small business pension plan start-up costs
Inclusion of qualified plan charitable distribution rule in the Senate Finance Committee extender package
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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 TAX
16. Specific lobbying issues
H.R. 880 Wall Street Trading and Speculators Tax Act; entire bill
H.R. 1579 The Inclusive Prosperity Act; entire bill
H.R. 2546 Protect American Investments Act of 2013; entire bill
H.R. 2992 Business Activity Tax Simplification Act of 2013; entire bill
S. 410 Wall Street Trading and Speculators Tax Act; entire bill
S. 1257 - To protect financial transactions in the United States from enforcement of certain excise taxes imposed by any foreign government, and for other purposes; entire bill
S. 1645 Mobile Workforce State Income Tax Simplification Act of 2013; entire bill
S. 1687 Payroll Fraud Prevention Act of 2013; entire bill
S. 1706 Fair Playing Field Act of 2003; entire bill
Camp Tax Reform Proposal: Life insurers and insurance product taxation, property casualty insurance proration rule, savings incentives (both qualified and non-qualified), long-term capital gains and qualified dividends, basis adjustment rules, taxation of financial products, compensation and benefit limitations, worker classification, municipal bond interest exclusion, corporate tax rate, corporate business deductions, international corporate taxation, employee benefits, and need for workable transition and compliance rules
Worker classification / Independent contractor reform proposal and impact on independent financial advisers working within the securities industry
FY 2015 White House budget proposals, including provisions affecting life company and life product taxation, independent contractor, cutback on exclusions for qualified plan contributions and IRAs, employer-provided health benefits, and municipal interest exclusions
European FTTs and transborder collection obligation on US broker dealers
FATCA: Implementation and global competitive considerations
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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
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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 |