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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1099 New York Ave. NW |
Address2 | 6th Floor |
City | Washington |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 317914-12
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6. House ID# 393430000
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TYPE OF REPORT | 8. Year | 2020 |
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 |
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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: Kenneth E. Bentsen, Jr. |
Date | 10/20/2020 8:50:00 AM |
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
Equity market structure issues;
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
Standardized Approach for Counterparty Credit Risk (SA-CCR) reform proposal;
Housing Finance Reform;
LIBOR transition issues;
SEC Final Regulation Best Interest;
Implementation of Electronic Signature in Global and National Commerce Act;
Consolidated Audit Trail (CAT) - US House and US Senate;
Comprehensive Capital Analysis and Review - US Senate;
Legislation related to changes in certain private activity bond treatment;
H.R. 2513 - Corporate Transparency Act of 2019;
H.R. 2474/S. 1306 - Protecting the Right to Organize Act of 2019;
H.R. 1595 and S. 1200 - Secure and Fair Enforcement Banking Act of 2019;
SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents;
S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019;
H.R. 4762, Fair Investment Opportunities for Professional Experts Act;
H.R. 3967, Municipal Bond Market Support Act of 2019;
S. 482 - Defending American Security from Kremlin Aggression Act of 2019 and other Issues related to foreign policy and the blocking of and/or trade restrictions;
Federal Reserve Board and Prudential Agency Covid-19 Actions;
S. 2563 - ILLICIT Cash Act;
S. 3550 - Municipal Bonds Emergency Relief Act;
Self-Regulatory Organization (SRO) Reform;
H.R. 2772 - Investing in Our Communities Act;
S. 2992 - Investor Choice Act of 2019;
S. 1236 - Municipal Securities Rulemaking Board Reform Act of 2019;
S. 4129 - Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act;
S. 4203 - American Infrastructure Bonds Act of 2020;
S. 3798 - Hong Kong Autonomy Act;
Federal government market support programs (e.g. TALF);
H.R.2, Moving Forward Act (municipal finance provisions);
Public Law 116-136, CARES Act (retirement and savings provisions), (Municipal Liquidity provisions);
H.R. 6800, The Heroes Act (retirement and savings provisions);
S. 1428/H.R. 6276, Retirement Parity for Student Loans Act;
S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions);
SBA Paycheck Protection Program;
Net Stable Funding Ratio Regulatory Proposal;
Off-Cycle CCAR;
Financial Stability Board TooBigToFail Paper;
Foreign Banking Organization RRP and Tailoring Proposal;
Large Institution Supervision Coordinating Committee (LISCC) Review;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
S. 4159 - E-SIGN Modernization Act of 2020;
SEC Temporary Exemptive Order related to municipal advisors;
LIBOR;
Federal Reserve G-SIB capital surcharge;
Stress Testing Reform;
Foreign Banking Organizations Tailoring Proposal Comment Letter;
H.R. 2923 - Inclusive Prosperity Act of 2019;
Increase in the bank qualified bond limit - Rep. Sewell Bill.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Ginnie Mae, Federal Housing Finance Agency (FHFA), Securities & Exchange Commission (SEC)
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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Kevin |
Carroll |
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Bradley |
Edgell |
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Chris |
Killian |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Jamie |
Wall |
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Amena |
Ross |
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Jennifer |
Bang |
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Liam |
Cardon |
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Niccole |
Rivero |
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Leslie |
Norwood |
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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 CDT
16. Specific lobbying issues
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
Block trades on swap execution facilities (SEFs);
Derivatives regulation (general);
Margin requirements for uncleared swaps;
Initial margin for inter-affiliate transactions;
Commodity Exchange Act reauthorization;
H.R. 7668 - Financial Services and General Appropriations Act, 2021;
H.R.7046 - To amend the Bank Holding Company Act of 1956 to place certain limitations on commodity ownership and to repeal the merchant banking authority, and for other purposes;
H.R. 4895 - CFTC Reauthorization Act of 2019;
CFTC proposed cross border rule;
CFTC final rule on margin requirements for uncleared swaps;
Standardized Approach for Counterparty Credit Risk (SA-CCR Rule Making).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, 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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Liam |
Cardon |
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Niccole |
Rivero |
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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. 1876 (Senior Security Act of 2019);
H.R. 2513 (Corporate Transparency Act of 2019);
S. 452 (Fostering Innovation Act of 2019);
S. 2499 (A bill to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of unpaid arbitration awards issued against brokerage firms or brokers regulated by the Authority. 115th Cong.);
Accounting standards for municipalities;
CFTC cross-border guidance exemptive order;
CFTC exemptive order on extraterritorial scope of Title VII;
Release No. 34-71958, Security-Based Swap Dealers Recordkeeping;
Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau);
Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures;
Inter-affiliate swap transactions;
Trade policy issues (general);
China "Secure and Controllable" information and communication technologies (ICT) regulations;
Mutual Fund 12b-1 Fees;
Senior investors/diminished capacity investors;
Diversity & Inclusion initiatives in the financial services industry;
P.L. 106-229 (E-Sign Act);
Issues related to restitution and disgorgement (not yet introduced);
Legislation related to the FINRA arbitration system for broker-dealers;
Housing finance reform (general);
SEC Proposed Exemptive Order on Municipal Advisors Acting As Placement Agents;
S. 1236, the Municipal Securities Rulemaking Board Reform Act of 2019;
H.R. 609, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019;
H.R. 1815, SEC Disclosure Effectiveness Testing Act of 2019;
S. 1719 - Senior Security Act of 2019;
H.R. 5336 - Investor Choice Act of 2019;
Public Law 116-136, CARES Act;
S. 4129 - LOCAL Infrastructure Act;
S. 4203 - American Infrastructure Bonds Act of 2020;
H.R.6242 - SEC Relief to Slow the Spread of Coronavirus Act of 2020;
S.945/H.R. 7000 - Holding Foreign Companies Accountable Act;
H.R. 2 - Moving Forward Act;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
S. 3550 - Municipal Bonds Emergency Relief Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Natl Credit Union Administration (NCUA), Ginnie Mae, Homeland Security - Dept of (DHS), Natl Security Council (NSC), State - Dept of (DOS), Office of the Comptroller of the Currency (OCC), Housing & Urban Development - Dept of (HUD), Federal Housing Finance Agency (FHFA)
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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Bradley |
Edgell |
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Kevin |
Carroll |
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Carter |
McDowell |
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Melissa |
MacGregor |
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Chris |
Killian |
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Peter |
Matheson |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Justin |
Sok |
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Liam |
Cardon |
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Niccole |
Rivero |
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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. 1516 (Wall Street Tax Act of 2019);
H.R. 2772 (Investing in Our Communities Act);
S. 647 (Wall Street Tax Act of 2019);
United States individual and business taxation;
Chapters 3 and 4 of Subtitle A of the Internal Revenue Code (responsibilities of financial institutions);
Proposals to modify tax incentives for retirement savings and investment;
Regulations implementing P.L. 115-97, Dec. 22, 2017, including regulations and guidance relating to IRC Sections 59A, 162(f), 163(j), 451, 199A, 512, 904, 951A, 958, and 1446;
Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR;
Regulations under IRC Sec. 871(m) and IRC Sec. 385;
International tax reform;
Technical and policy modifications to P.L. 115-97;
Tax Incentives to preserve interest deduction related to municipal bonds;
Tax Incentives to reinstate advance refunding bonds;
Tax Incentives to provide for direct pay municipal bonds;
Issues related to taxation of ownership of securities and securities transactions;
Technical correction related to the repeal of Section 958(b)(4) in P.L. 115-97 (Tax Cuts and Jobs Act);
H.R. 3967 - Municipal Bond Market Support Act of 2019;
Proposals to expand Private Activity Bonds;
S. 3995, the Remote and Mobile Worker Relief Act of 2020;
H.R. 6800, The Heroes Act (retirement and savings provisions);
H.R. 2, Moving Forward Act (municipal finance provisions);
S. 4203, American Infrastructure Bond Act;
Public Law 116-136, CARES Act (retirement and savings provisions);
S. 1431, Retirement Security and Savings Act of 2019 (various retirement and savings provisions);
S. 1428/H.R. 6276, Retirement Parity for Student Loans Act;
S. 2866 - Rural Broadband Financing Flexibility Act;
H.R. 7857 - Connect America Now (CAN) Act;
S. 4129 - LOCAL Infrastructure Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Security Council (NSC), Securities & Exchange Commission (SEC), Internal Revenue Service (IRS)
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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Lisa |
Bleier |
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John |
Maurello |
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Tracy |
Eichler |
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Jillian |
Enoch |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Justin |
Sok |
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Liam |
Cardon |
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Niccole |
Rivero |
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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. 1439 (Increase Access to a Secure Retirement Act of 2019);
H.R. 1516 (Wall Street Tax Act of 2019);
H.R. 1876 (Senior Security Act of 2019);
H.R. 1907 (Retirement Security for American Workers Act);
H.R. 1993 (To amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the rules relating to multiple employer plans and pooled employer plans and to modify PBGC premiums for CSEC plans);
H.R. 1994 (Setting Every Community up for Retirement Enhancement (SECURE) Act of 2019);
S. 647 (Wall Street Tax Act of 2019);
S. 1431 (Retirement Security and Savings Act of 2019);
S. 1719 (Senior Security Act of 2019);
Tax incentives for retirement savings;
SEC Final Regulation Best Interest;
Senior Investor Report and Hold concept legislation;
Electronic delivery of retirement plan documents and disclosures;
Public Law 116-136, CARES Act;
H.R. 4117 (IRA Preservation Act of 2019);
H.R.6800 (The Heroes Act);
S.1428/H.R.6276 (Retirement Parity for Student Loans Act);
S. 1431 (Retirement Security and Savings Act of 2019), various retirement and savings provisions);
SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments);
Department of Labor proposed rule on defining plan fiduciaries' duties under ERISA;
Department of Labor proposed prohibited transaction exemption on investment advice;
Department of Labor Proposed proxy advisor rule;
Department of Labor proposed ESG rule.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Labor - Dept of (DOL)
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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Carter |
McDowell |
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Bradley |
Edgell |
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Tracy |
Eichler |
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Jillian |
Enoch |
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John |
Maurello |
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Mark |
Schuermann |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Liam |
Cardon |
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Niccole |
Rivero |
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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) |
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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 |
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?
Lobbyist Name | Description of Offense(s) |