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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 | 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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
Date | 10/21/2013 |
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
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. 1134 Cyber Economic Espionage Accountability Act ; entire bill
H.R. 1135 Burdensome Data Collection Relief Act; entire bill
H.R. 1564 The Audit Integrity and Job Protection Act; 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
S. 21 Cybersecurity and American Cyber Competitiveness Act of 2013; provisions relating to the financial services sector
S. 1526 Audit Integrity and Job Protection Act; entire bill
Congressional inquiry on corporate cybersecurity practices
Congressional support for the SEC moving forward on implementing Section 913 of Dodd-Frank
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
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 GOV
16. Specific lobbying issues
Legislation relating to federal government borrowing authority
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. 2720 Alexis Agin Identity Theft Protection Act of 2013; entire bill
S. 534 National Association of Registered Agents and Brokers Reform Act of 2013; entire bill
S. 676 Identity Theft and Tax Fraud Prevention Act of 2013; entire bill
Regulatory activities on disparate impact and potential implications on homeowners insurance coverage
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 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. 1238 - Keep Student Loans Affordable Act of 2013; provisions relating to distributions from IRAs and DC plans
S. 1270 SAFE Retirement Act of 2013; entire bill
Senate Resolution 12 (Isakson/Murphy) on preserving tax incentives for retirement security
Importance of existing tax incentives for retirement security and potential negative implications of some tax reform proposals in terms of reducing savings 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
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
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. 1634 Medical FSA Improvement 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. 277 Job Preservation and Economic Certainty Act of 2013; provisions relating to imposition of financial crisis responsibility fee and financial transaction tax
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
Tax reform: Life insurers and insurance product taxation, property casualty insurance taxation, savings incentives (both qualified and non-qualified), long-term capital investment, municipal bond interest exclusion, corporate tax rate, corporate business deductions, international corporate taxation, employee benefits, and need for workable transition and compliance rules
Not yet introduced: House Ways and Means draft proposal for modifying the tax treatment of financial products and impact on life insurance companies, mutual funds, and retail investors
Independent contractor reform proposal and impact on independent financial advisers working within the securities industry
FATCA: Implementation and global competitive considerations
European FTTs and transborder collection obligation on US broker dealers
FY 2014 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
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 |