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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1501 M STREET, N.W., Suite 600 |
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City | WASHINGTON |
State | DC |
Zip Code | 20005-1700 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 4675-12
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6. House ID# 312420000
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TYPE OF REPORT | 8. Year | 2014 |
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 |
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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: RALPH P. KASS |
Date | 1/20/2015 12:12:25 PM |
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
Administration Proposed FY 2015 Budget
MyRA proposal
Cap on retirement savings
Tax Incentives - limitation on itemized deductions and exclusions affecting retirement savings
Defined Benefit Plan Issues
Pension funding stabilization
Mortality Tables
De-Risking methods
Preserving Americas Transit and Highways Act (PATH) of 2014 - pension funding stabilization (Senate
Consolidated and Further Continuing Appropriations Act, 2015 - H.R. 83/Public Law No: 113-235, pension provisions
Highway and Transportation Funding Act - H.R. 5021 (House)
PBGC premiums
A bill to clarify the definition of substantial cessation of operations under ERISA Section 4062 (e) - S. 2511
Retirement Security Preservation Act, non-discrimination provisions - S. 2855/H.R. 5381
Late retirement actuarial equivalence
Pension Protection Act definition of liquidity shortfall
Tax Increase Prevention Act, employee benefit plan provisions - H.R. 5771/ Public Law No: 113-295 (tax extenders; Achieving a Better Life Experience (ABLE) Act of 2013 - S. 313/H.R. 647)
Defined contribution plan issues
Automatic enrollment, automatic escalation
Plan fees; Brokerage windows
Investment advice to retirement plan participants,
DOL definition of fiduciary
Roth 401(k)s and Roth IRAs
Electronic disclosure of retirement plan information, fees and distribution notices to participants
Secure Annuities for Employee (SAFE) Retirement Act of 2013 - S. 1270
Retirement Plan Simplification And Enhancement Act of 2013 - H.R. 2117
Lifetime Income Disclosure Act - S. 1145/H.R. 2171
Retirement Security Act of 2014 - S. 1970/H.R. 4376
The Universal, Secure, and Adaptable (USA) Retirement Funds Act - S. 1979
21st Century Worker Tax Cut Act - S. 2162 - 162 m, (executive compensation)
Tax Reform - employer-sponsored retirement plans
Tax Reform Act of 2014 - H.R. 1
Comprehensive Tax Reform for 2015 and Beyond - Republican Staff, Committee on Finance, United States Senate
Other Issues
Hybrid retirement plans -Treasury Department finalization of proposed regulations & legislation
Executive compensation - pay for performance, timing of taxation, substantial risk of forfeiture, Internal Revenue Code Sec. 409A, sec. 953(b) of Dodd-Frank (pay ratio provision)
Derivatives issues (Dodd-Frank impact on retirement plan investments)
Financial Accounting Standards Board (FASB) accounting rules for pensions and other post-employment benefits
Foreign Account Taxpayer Compliance Act (FATCA) - exemption for foreign retirement plans
Puerto Rico retirement plan regulation
Regulation of Money Market Funds
Multiemployer pension plan issues
ESOP dividend deduction
Disability plan automatic enrollment
Inherited retirement plans including IRAs and tax treatment
Defense of Marriage Act (DOMA), U.S. Supreme Court case - regulatory implementation issues related to retirement plan administration
Retirement plan access proposals
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Pension Benefit Guaranty Corporation (PBGC), Internal Revenue Service (IRS), Treasury - Dept of, Labor - Dept of (DOL), Commodity Futures Trading Commission (CFTC), 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 |
James |
Klein |
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Lynn |
Dudley |
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Diann |
Howland |
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Janet |
Jacobson |
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Jill |
Randolph |
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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
Health Care Reform - ongoing implementation and improvements of the Patient Protection and Affordable Care Act (PPACA)
Consolidated and Further Continuing Appropriations Act, 2015 - H.R. 83/Public Law No: 113-235 - PPACA, expatriate health plans
The Save American Workers Act - H.R. 2575 (40 hour week)
The Commonsense Reporting Act of 2014 - S. 2176
Streamlining Verification for Americans Act - H.R. 5557
Forty Hours is Full Time Act - S. 1188
Bankruptcy Fairness and Employee Benefits Protection Act - S. 2418
To amend section 1341 of the Patient Protection and Affordable Care Act to repeal the funding mechanism for the transitional reinsurance program in the individual market, and for other purposes - H.R. 3489
The Expatriate Health Coverage Clarification Act - H.R. 4414
Auto Enroll Repeal Act - S. 2546/H.R. 1254
Tax Reform - employer-sponsored health insurance
Tax Reform Act of 2014 - H.R. 1
Comprehensive Tax Reform for 2015 and Beyond - Republican Staff, Committee on Finance, United States Senate
Other Issues
McNamara-OHara Service Contract Act (SCA)
Health Insurance Portability and Accountability Act (HIPAA) - Administration Simplification: Certification of Compliance for Health Plans
Electronic disclosure, communication by employee benefit plans
Consumer directed health care plans - HDHPs, HSAs, HRAs,
FSA Plans - carryover issues
Defense of Marriage Act (DOMA), U.S. Supreme Court case - regulatory implementation issues related to employer-sponsored health plans
Wellness Plans
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Labor - Dept of (DOL), Treasury - Dept of, Centers For Medicare and Medicaid Services (CMS), Health & Human Services - Dept of (HHS), Equal Employment Opportunity Commission (EEOC)
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 |
James |
Klein |
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Kathryn |
Wilber |
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Lynn |
Dudley |
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Diann |
Howland |
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Jill |
Randolph |
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Kathryn |
Spangler |
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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 |