|
LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 901 15th Street, NW |
Address2 | Suite 600 |
City | WASHINGTON |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
City | |
State | |
Zip Code | |
Country | |
|
5. Senate ID# 29174-24
|
||||||||
|
6. House ID# 312170000
|
TYPE OF REPORT | 8. Year | 2009 |
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 | |||||||||
---|---|---|---|---|---|---|---|---|---|
12. Lobbying | 13. Organizations | ||||||||
INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
|
|
||||||||
|
|
||||||||
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: George Nichols III, Senior Vice President |
Date | 01/20/2010 |
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
HR 4173, Wall Street Reform and Consumer Protection Act, provisions related to the Federal Insurance Office, a new resolution authority for non-banks, consultation with state regulators on issues related to insurers that pose potential systemic risk, the Consumer Financial Protection Agency, and suitability standards for annuities.
HR 1880, National Insurance Consumer Protection Act, all provisions.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Deposit Insurance Commission (FDIC), Federal Reserve System
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 |
George |
Nichols |
III |
|
|
Julie |
Herwig |
|
|
|
Doug |
Lathrop |
|
|
|
Jon |
Paone |
|
|
|
Frances |
Arricale |
|
|
|
Nancy |
Davenport |
|
|
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
S 376, Real Estate Mortgage Investment Conduit Improvement Act, all provisions.
HR 3300, Derivative Trading Accountability and Disclosure Act, all provisions.
HR 3795, Over-the-Counter Derivatives Market Act, all provisions.
HR 4173, Wall Street Reform and Consumer Protection Act, provisions related to derivatives, the standard of care for
broker-dealers and investment advisers, and the property rights of secured creditors of companies resolved by the proposed resolution authority.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
George |
Nichols |
|
|
|
Julie |
Herwig |
|
|
|
Doug |
Lathrop |
|
|
|
Nancy |
Davenport |
|
|
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
HR 2748, Retirement Security Needs Lifetime Pay Act, all provisions.
Issues related to incentives for annuitization in defined contribution plans.
HR 2989, 401(k) Fee Fair Disclosure and Pension Security Act, provisions related to fee disclosure and investment advice.
HR 2779, Defined Contribution Plan Fee Transparency Act, all provisions.
S 2832, Lifetime Income Disclosure Act, all provisions.
HR 3551, S 906, Senior Investor Protection Act, provisions related to suitability and supervision rules for annuity products.
S 1297, Retirement Security for Lifetime Pay Act, all provisions.
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 |
George |
Nichols |
|
|
|
Alan |
Shortell |
|
|
|
Julie |
Herwig |
|
|
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
Issues related to deferral of U.S. taxes on overseas income; Administration's budget proposals on corporate owned life insurance and the dividends-received deduction; and the tax treatment of insurance generally.
HR 4191, Let Wall Street Pay for the Restoration of Main Street Act, all provisions.
HR 4213, The Tax Extenders Act of 2009, provisions related to the Subpart F exemption for active financing.
HR 4154, The Permanent Estate Tax Relief for Families, Farmers and Small Businesses Act of 2009, all provisions.
S 2826, The CREATE Jobs Act of 2009, provisions related to refundable tax credits for wind energy.
HR 2749, Retirement Security Needs Lifetime Pay Act, all provisions.
S 1297, Retirement Security for Life Act, all provisions.
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 |
George |
Nichols |
|
|
|
Doug |
Lathrop |
|
|
|
Julie |
Herwig |
|
|
|
Jon |
Paone |
|
|
|
Emily |
Gonce |
|
|
|
Rick |
Rossow |
|
|
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
HR 3590, Patient Protection and Affordable Care Act (Senate health bill), provisions related to long-term care and group medical insurance.
S 702, Long Term Care Affordability and Security Act, all provisions.
S 697, HR 1721, Community Living Assistance Services and Supports Act, all provisions.
HR 3200, S 1679; Affordable Health Choices Act of 2009, provisions related to long-term care and group medical insurance.
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 |
George |
Nichols |
III |
|
|
Doug |
Lathrop |
|
|
|
Julie |
Herwig |
|
|
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 TRD
16. Specific lobbying issues
Issues related to U.S.-Korea Free Trade Agreement
Issues related to potential Bilateral Investment Treaties with India and China
Issues related to the U.S. trade agenda within the World Trade Organization and other multilateral settings.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Commerce - Dept of (DOC), State - Dept of (DOS), Treasury - Dept of, U.S. Trade Representative (USTR), Natl Economic Council (NEC)
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 |
George |
Nichols |
|
|
|
Frances |
Arricale |
|
|
|
Rick |
Rossow |
|
|
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
Address | |
||||||
City | |
State | |
Zip Code | |
Country | |
21. Client new principal place of business (if different than line 20)
City | |
State | |
Zip Code | |
Country | |
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
|
|
||||||||
1 |
|
3 |
|
||||||
2 |
|
4 |
|
ISSUE UPDATE
24. General lobbying issue that no longer pertains
|
|
|
|
|
|
|
|
|
AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name | Address |
Principal Place of Business (city and state or country) |
||||||||||||
| ||||||||||||||
|
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 | ||||||||||
| ||||||||||||||
|
% |
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 |