|
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)
| City | |
State | |
Zip Code | |
Country | |
|
5. Senate ID# 20128-12
|
||||||||
|
6. House ID# 311170000
|
||||||||
| 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 | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| 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: DEAN R. SACKETT III, CHIEF GOVERNMENT AFFAIRS OFFICER |
Date | 07/19/2012 |
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 |
DEAN |
SACKETT |
III |
|
|
NETONIS |
WYBENSINGER |
|
|
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. 1535 FINANCIAL REGULATORY RESPONSIBILITY ACT
S. 1615 DODD-FRANK IMPROVEMENT ACT OF 2011
S. 2223 DELAY IMPLEMENTATION DATE OF VOLCKER RULE PROVISIONS
H.R. 940 UNITED STATES COVERED BOND ACT OF 2011
S. 1434 DATA SECURITY ACT OF 2011
S. 1834 RESIDENTIAL MORTGAGE MARKET PRIVATIZATION AND STANDARDIZATION ACT OF 2011
S. 1835 UNITED STATES COVERED BOND ACT
HR 1182 GSE BAILOUT ELIMINATION AND TAXPAYER PROTECTION ACT
HR 1539 ASSET-BACKED MARKET STABILIZATION ACT OF 2011
HR 1573 DELAY IMPLEMENTATION OF TITLE VII OF DODD-FRANK ACT
HR 1838 REPEAL DFA PROVISION PROHIBITING ASSISTANCE TO SWAP DEALERS OR PARTICIPANTS
HR 1840 CONSIDERATION BY THE CFTC OF THE COSTS AND BENEFITS OF ITS REGULATIONS
HR 2308 SEC REGULATORY ACCOUNTABILITY ACT
HR 2483 WHISTLEBLOWER IMPROVEMENT ACT OF 2011
HR 2586 SWAP EXECUTION FACILITY CLARIFICATION ACT
HR 2682 BUSINESS RISK MITIGATION AND PRICE STABILIZATON ACT OF 2011
HR 2779 TO EXEMPT INTER-AFFILIATE SWAPS FROM DODD-FRANK ACT
HR 3606 JOBS ACT
HR 3644 PRIVATE MORTGAGE MARKET INVESTMENT ACT
HR 4624 INVESTMENT ADVISER OVERSIGHT ACT OF 2011
SEC MODERNIZATION ACT
CFTC RULE 4.5
MONEY MARKET MUTAL FUNDS
SIFIs
VOLCKER RULE
USE OF COMMODITIES BY MUTUAL FUNDS
EXCHANGE-TRADED FUNDS
MARKET STRUCTURE
EXTENSION OF UNLIMITED DEPOSIT INSURANCE FOR NONINTEREST-BEARING TRANSACTION ACCOUNTS
MANDATORY AUDIT FIRM ROTATION
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 |
NETONIS |
WYBENSINGER |
|
|
|
DEAN |
SACKETT |
III |
|
|
PETER |
GUNAS |
|
|
|
ALLEN |
HUFFMAN |
|
|
|
DONALD |
AUERBACH |
|
|
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
HR 677 LIFETIME INCOME DISCLOSURE ACT
HR 4049 AUTOMATIC IRA ACT OF 2012
E-DELIVERY
S. 1121 SAVINGS ENHANCEMENT BY ALLEVIATING LEAKAGE IN 401(K) SAVINGS ACT OF 2011
S. 1557 AUTOMATIC IRA ACT OF 2011
HR 3287 SAVINGS ENHANCEMENT BY ALLEVIATING LEAKAGE IN 401(K) SAVINGS ACT OF 2011
HR 4050 RETIREMENT PLAN SIMPLIFICATION AND ENHANCEMENT ACT OF 2012
DOL FIDUCIARY DEFINITION
TARGET DATE FUNDS
401(K) FEE 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 |
PETER |
GUNAS |
|
|
|
DEAN |
SACKETT |
III |
|
|
ALLEN |
HUFFMAN |
|
|
|
DONALD |
AUERBACH |
|
|
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 HAVE 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
HR 2669 STOP TAX HAVE ABUSE ACT
HR 3091 TAX HIKE PREVENTION AND BUSINESS CERTAINTY ACT
HR 3313 WALL STREET TRADING AND SPECULATORS TAX ACT
HR 4623 MAKE PERMANENT THE EXEMPTION FOR CERTAIN DIVIDENDS PAID BY RICS TO NONRESIDENT ALIENS
CAPITAL GAINS/DIVENDS TAX RATE EXTENSION
FLOW-THROUGH/TAX EXTENDERS
ANNUAL DEFERRAL LIMITS FOR RETIREMENT PLANS
FOREIGN ACCOUNT TAX COMPLIANCE ACT
INTERNATIONAL REGULATED INVESTMENT COMPANY
TAX-EXEMPTION FOR MUNICIPAL BONDS
TAX TREATMENT OF FINANCIAL PRODUCTS/ETNs
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 |
PETER |
GUNAS |
|
|
|
DEAN |
SACKETT |
III |
|
|
NETONIS |
WYBENSINGER |
|
|
|
ALLEN |
HUFFMAN |
|
|
|
DONALD |
AUERBACH |
|
|
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
RIC MODERNIZATION ACT TECHNICAL CORRECTIONS
17. House(s) of Congress and Federal agencies Check if None
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 |
KEITH |
LAWSON |
|
|
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 |