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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1401 H STREET, NW |
Address2 | SUITE 1200 |
| City | WASHINGTON |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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State | |
Zip Code | |
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5. Senate ID# 20128-12
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6. House ID# 311170000
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| TYPE OF REPORT | 8. Year | 2012 |
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. | ||||||||
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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 |
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| Signature | Digitally Signed By: Dean R. Sackett III, Chief Government Affairs Officer |
Date | 01/18/2013 |
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 BUD
16. Specific lobbying issues
FY 2013 SEC Appropriations
FY 2013 CFTC Appropriations
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 |
Donald |
Auerbach |
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Dean |
Sackett |
III |
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Netonis |
Wybensinger |
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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
S. 1615 - Financial Regulatory Responsibility Act
S. 1650 - Dodd-Frank Improvement Act of 2011
S. 1834 - Residential Mortgage Market Privatization and Standardization Act of 2011
S. 1835 - United States Covered Bond Act
S. 3468 - Independent Agency Regulatory Analysis Act of 2012
S. 3497 - Terminating the Expansion of Too-Big-To-Fail Act of 2012
S. 3620 - Regulation of Municipal Advisors
S. 3637 - Temporarily Extend the Transaction Account Guarantee Program
S. 3709 - GAO Study of Too Big to Fail
H.R. 940 - United States Covered Bond Act of 2011
H.R. 1182 - GSE Bailout Elimination and Taxpayer Protection Act
H.R. 1539 - Asset-Backed Market Stabilization Act of 2011
H.R. 1573 - Delay Implementation of Title VII of Dodd-Frank
H.R. 1838 - Repeal DFA provision prohibiting assistance to swap dealers or participants
H.R. 1840 - Consideration by the CFTC of the costs and benefits of its regulations
H.R. 2308 - SEC Regulatory Accountability Act
H.R. 2483 - Whistleblower Improvement Act of 2011
H.R. 2577 - Secure and Fortify Electronic Data Act
H.R. 2586 - Swap Execution Facility Clarification Act
H.R. 2682 - Business Risk Mitigation and Price Stabilization Act of 2011
H.R. 2779 - To exempt inter-affiliate swaps from Dodd-Frank Act
H.R. 2827 - Regulation of Municipal Advisors
H.R. 3606 - JOBS Act
H.R. 3644 - Private Mortgage Market Investment Act
H.R. 3862 - Sunshine for Regulatory Decrees and Settlements Act of 2012
H.R. 4078 - Red Tape Reduction and Small Business Job Creation Act
H.R. 4624 - Investment Adviser Oversight Act
H.R. 5929 - Next Steps for Credit Availability Act
H.R. 6127 - Liquidity Enhancement for Small Public Companies Act
H.R. 6204 - Investment Adviser Examination Improvement Act of 2012
H.R. 6317 - Terminating the Expansion of Too-Big-to-Fail Act of 2012
Draft - SEC Modernization Act
CFTC Rule 4.5
Money Market Mutual Funds
SIFIs
Volcker Rule
Use of Commodities by Mutual Funds
Exchange-Traded Funds
Market Structure
Mandatory Audit Firm Rotation
Tri-Party Repo Market
Mortgage Eminent Domain
FX Forwards and FX Swaps
Non-deliverable Forwards
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 |
Donald |
Auerbach |
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Dean |
Sackett |
III |
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Netonis |
Wybensinger |
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Peter |
Gunas |
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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
S. 267 - Lifetime Income Disclosure Act
S. 1121 - Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011
S. 1557 - Automatic IRA Act of 2011
S. Con. Res. 62 - Sense of the Congress on Retirement Savings Incentives
H.R. 677 - Lifetime Income Disclosure Act
H.R. 3287 - Savings Enhancement by Alleviating Leaking in 401(k) Savngs Act of 2011
H.R. 4049 - Automatic IRA Act of 2012
H.R. 4050 - Retirement Plan Simplification and Enhancement Act of 2012
H. Con. Res. 101 - Sense of the Congress on Retirement Savings Incentives
E-Delivery
DOL Fiduciary Definition
Target Date Funds
401(k) Disclosure
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 |
Donald |
Auerbach |
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Dean |
Sackett |
III |
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Netonis |
Wybensinger |
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Allen |
Huffman |
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Peter |
Gunas |
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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
S. 1346 - Stop Tax Haven Abuse Act
S. 1647 - Tax hike Prevention and Business Certainty Act
S. 1787 - Wall Street Trading and Speculators Tax Act
S. 2033 - Closing the Derivatives Blended Rate Loophole Act
S. 2075 - CUT Loopholes Act
S. 3521 - Family and Business Tax Cut Certainty Act of 2012
H.R. 8 - American Taxpayer Relief Act of 2012
H.R. 2669 - Stop Tax Have Abuse Act
H.R. 3091 - Tax Hike Prevention and Business Certainty Act
H.R. 4623 - Make Permanent the Exemption for Certain Dividents Paid by RICs to Nonresident Aliens
H.R. 6616 - To Protect Securities Transactions in the U.S. from Enforcement of Certain Excise Taxes Imposed by any Foreign Government
H.R. 6683 - Hurricane Sandy Tax Relief Act of 2012
Capital Gains/Dividends Tax Rate Extension
Comprehensive Tax Reform
Flow-through/Tax Extenders
Annual Contribution Limits for Retirement Plans
Foreign Account Tax Compliance Act
International Regulated Investment Company
Tax-Exemption for Municipal Bonds
Tax Treatment of Financial Products/ETNs
RIC Modernization Act Technical Corrections
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 |
Donald |
Auerbach |
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Dean |
Sackett |
III |
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Netonis |
Wybensinger |
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Allen |
Huffman |
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Peter |
Gunas |
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Keith |
Lawson |
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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 |