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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1295 STATE STREET |
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City | SPRINGFIELD |
State | MA |
Zip Code | 01111-0001 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 23986-12
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6. House ID# 319680000
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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: Alison B. Weiss, Vice President |
Date | 01/21/2014 |
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 INS
16. Specific lobbying issues
"The Dodd-Frank Wall Street Reform and Consumer Protection Act", P.L. No. 111-203 - Regulatory implementation of provisions relating to insurance companies.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
Nathan |
Davern |
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Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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 HCR
16. Specific lobbying issues
Regulatory Implementation of the "Patient Protection & Affordable Care Act (PPACA)".
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Health & Human Services - Dept of (HHS), Labor - Dept of (DOL), 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 |
Nathan |
Davern |
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Camille |
Donald |
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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
See Addendum.
S. 676, "The Identify Theft and Tax Fraud Protection Act of 2013".
S. 1145, "Lifetime Income Disclosure Act".
S. 1270, "SAFE Retirement Act of 2013".
S. 1557, "Automatic IRA Act", a bill to amend the Internal Revenue Code to promote and simplify Qualified Plans.
H.R. 2117, "Retirement Plan Simplification and Enhancement Act of 2013".
H.R. 2171, "Lifetime Income Disclosure Act".
H.R. 837, "Savings for American Families' Future Act of 2013" - Amends the Internal Revenue Code to : (1) increase the rate of the tax credit for retirement savings contributions; (2) make such credit refundable; and (3) direct the Secretary of the Treasury to pay matching credit amounts into taxpayer retirement accounts.
H.R. 2035, "Automatic IRA Act of 2013", - Amends the Internal Revenue Code to require certain employers who do not maintain qualifying retirement plans or arrangements to make available to their eligible employees a payroll deposit individual retirement account (IRA) arrangement.
No Bill Number - The Universal Secure and Adaptable (USA) Retirement Fund - a proposal to increase retirement coverage.
Dept. of Labor, final rule adding Section 2520.104(b)-1(c), Electronic Distribution of Disclosures Required by Title 1 of ERISA, 75 FR 19285 (4/7/11).
Dept. of Labor, proposed rule amending Section 2510.3-21 c, (definition of term "fiduciary"), 75 FR 65263 (10/22/10).
Dept. of Labor proposed rule amending Section 2550.404a-4, Selection of Insurers to provide guaranteed retirement income- safe harbor for individual account plans.
Dept. of Labor, "Advance Notice of Proposed Rule Making (ANPRM) on Pension Benefit Statements". The ANPRM will require an illustration of participant account balances on partcipant statements in the form of lifetime income.
The Bi-Partisan Budget Act of 2013 (Death Master File Provision).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Nathan |
Davern |
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Camille |
Donald |
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Alison |
Weiss |
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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
See Addendum.
S. 21, "The Cybersecurity and American Cyber Competitiveness Act of 2013".
H.R. 624, "Cyber Intelligence and Security Protection Act".
H.R. 756, "Cybersecurity Enhancement Act of 2013" - a bill that advances cybersecurity research, development and technical standards.
Various proposals related to cyber and data security and privacy issues.
S. 1217, "Housing Finance Reform and Taxpayer Protection Act of 2013", a bill that provides secondary mortgage market reform.
S. 1369, 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.
NIST framework and incentives for the adoption of the NIST framework.
H.R. 1256, "Swap Jurisdiction Certainty Act", a bill that directs the SEC and CFTC to issue rules jointly relating to swaps transacted between U.S. persons and non-U.S. persons.
H.R. 2140, Insurance Capital and Accounting Standards Act of 2013.
H.R. 2374, "The Retail Investor Protection Act", a bill that amends the Securities Exchange Act of 1934 to provide protections for retail customers.
H.R. 2767, Protecting American Taxpayers and Homeowners Act of 2013, a bill to reform the housing finance system.
H.R. 6204, "SEC proposed rule on Mutual Fund Distribution Fees".
FDIC Interim Final Rule of Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Capital Adequacy, Transition Provisions, Prompt Corrective Action, Standardized Approach for Risk-Weighted Assets, Market Discipline and Disclsure Requirements, Advanced Approaches Risk-Based Capital Rule and Market Risk Capital Rule (7/9/13).
Financial Stability Oversight Council, Notice of proposed rulemaking regarding authority to require supervision of certain non-bank financial companies, (1/26/11).
SEC Release No. 34-69013 - Request for data and other information related to the duties of brokers, dealers and investment advisers.
SEC Final Rule, Registration of Municipal Advisors, 17 CFR, Parts 240 and 249, 78 FR 59814 (9/30/2013).
CFTC Exemptive Order Regarding Compliance with Certain Swap Regulations (Cross-Border Phase-In Exemptive Order) (7/12/13).
Department of Treasury, IAIS Common Framework for the Supervision of Internationally Active Insurance Groups (7/1/11).
Proposed Rules regarding incentive based compensation arrangements by seven federal agencies, including the SEC, to implement Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (3/3/11).
Section 619, "Dodd Frank Wall Street Reform and Consumer Protection Act", Final Rule, 12 CFR Part 44, 12 CFR Part 248, 12 CFR Part 351, 17 CFR Part 255 (12/10/2013).
Section 941, Dodd Frank Wall Street Reform & Consumer Protection Act, Notice of proposed rulemaking, Credit Risk Retention SEC, 17 CFR Part 246, 78 FR 57928 (9/20/13).
"The Dodd-Frank Wall Street Reform and Consumer Protection Act", P.L. No. 111-203 - Regulatory implementation of provisions relating to insurance companies.
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 |
Nathan |
Davern |
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Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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
See Addendum.
FATCA, Notice 2011-34 - Supplemental notice to Notice 2010-60, providing further guidance and requesting comments under Chapter 4 of Subtitle A of the code.
Financial Product Tax Reform discussion draft released by House Ways & Means Committee.
Various proposals regarding tax reform reviewed by the Senate Finance and House Ways and Means Comitttee in anticipation of tax reform.
Various proposals regarding deficit reduction with respect to retirement security.
Various proposals related to the president's plan for economic growth and deficit reduction as it relates to (1) the tax exempt status of municipal bond interest, apping the amount of the tax deductibility on municipal bonds at 28%, below the current top tax rates.
No Bill Number - Treasury Department Explanation of the Administration's FY-2013 Budget Tax proposals to (1) modify the dividends received deduction for life insurance company's general investment and separate accounts; (2) reporting of sales of existing life insurance contracts with a death benefit of $1M or more; (3) interest expense disallowance for corporate-owned life insurance (COLI) policies; and (4) international tax reforms. General explanations of the Administration's FY-2012 Revenue Proposals, Department of Treasury, "Green book".
No Bill Number - Select Revenue Measures Subcommittee Hearing on the international tax reform discussion draft to solicit feedback on the details of the corporate rate cut and participation exemption (i.e., territorial) system in an effort to include as part of comprehensive tax reform (10/26/11).
The Bi-Partisan Budget Act of 2013 (Death Master File Provision)..
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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 |