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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1455 Pennsylvania Avenue, N. W. |
Address2 | Suite 1200 |
| City | Washington |
State | DC |
Zip Code | 20004 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 11674-101
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6. House ID# 313180016
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| TYPE OF REPORT | 8. Year | 2024 |
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. | ||||||||
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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: Chris Gaston |
Date | 10/17/2024 3:52:12 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
Proposals related to retirement plan enhancements. Proposals relating to defined benefit plans, including plan funding and multiemployer plan issues. Issues related to nonqualified deferred compensation. Work regarding automatic plans and backdoor Roth contributions. Proposals related to plan amendment deadlines. Proposals related to PEP service crediting. Proposals related to Section 401(h) surplus and VEBA surplus. Issues related to Internal Revenue Code Section 162(m). Issues related to tax incentives for retirement savings. Issues related to electronic witnessing. Proposals related to environmental, social, and governance plan investments and proxy voting. Issues related to Qualified Professional Asset Managers. Issues related to cybersecurity in retirement plans. Proposals related to stemming leakage from retirement plans. Proposals related to stable value investment offerings in defined contribution plans. Proposals related to phased retirement. Proposals related to PBGC premiums. Proposals related to retirement target date funds. Issues related to the Department of Labor's proposed regulation defining fiduciary for investment advice purposes. Proposals and regulations related to cash balance, pension equity, and other hybrid pension plans. Issues related to PBGC collections and PBGC disclosure and mediation issues. Proposals related to electronic disclosure of information under ERISA, the Internal Revenue Code, and securities law. Proposals regarding compliance of retirement plans. Issues related to Form 5500 filing and missing participants. Issues related to the use of brokerage windows in defined contribution plans. Proposals to reform the multiple employer plan rules. Proposals regarding pension risk transfers. Proposals to modify required minimum distribution rules. Proposals that would modify limits on retirement plan contributions. Proposals related to stretch IRAs. Issues related to government issued mortality tables. Proposals to amend the nondiscrimination provisions to protect older, longer service employees. State-administered retirement plan initiatives. Annuitization with respect to defined contribution plans. QLACs. Proposals that would consolidate various retirement and IRA types. Proposals regarding a retirement lost and found. Proposals related to savings accounts for emergencies. Proposals related to disaster relief. Issues related to paid family and medical leave. Work regarding 15% pension minimum tax issue. Proposals related to self-correcting inadvertent plan errors. Issues related to SEC's liquidity and swing pricing proposal. Issues related to IRS Form W-4R and W-4P. Department of Labor Secretary nomination. Issues regarding age 18 eligibility. Issues related to the SEC's predictive data analytics proposal. Issues related to Roth catch-up contribution effective date. Issues related to long term part time employees. Proposals related to automatic enrollment grandfather rules.
H.R. 3596, Rightsizing Pension Premiums Act (115th Congress).
H.R. 4830, Pension and Budget Integrity Act (117th Congress).
H.R. 5877/S. 3746, Pension Risk Transfer Accountability Act (117th Congress).
H.R. 7310, Protecting Americas Retirement Security Act (117th Congress).
S. 4153, Incentivizing Small Business Retirement Savings Act (117th Congress).
S. 4219/H.R. 7740, Employee and Retiree Access to Justice Act (117th Congress).
H.R. 7780, Mental Health Matters Act (117th Congress).
H.R. 5376, Build Back Better Act (117th Congress).
Technical corrections of H.R. 2617, Consolidated Appropriations Act of 2023, SECURE 2.0 Act of 2022 (117th Congress).
H.R. 9066/S. 4973, Retirement Savings Modernization Act (117th Congress).
H.R. 9462/S. 5271, Retirement Savings for Americans Act (117th Congress).
H.R. 4924/S. 2517, Auto Reenroll Act.
S. 2512, A bill to amend the Internal Revenue Code of 1986 to provide a credit for re-enrollment provisions in retirement plans of small employers.
H.R. 5060/S. 2627, Women's Retirement Protection Act.
H.R.7293, Automatic IRA Act of 2024.
S. 3305/H.R. 9281, Helping Young Americans Save for Retirement Act.
H.R. 8818, American Privacy Rights Act.
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 |
Kent A. |
Mason |
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Barbara A. |
Pate |
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Michael L. |
Hadley |
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Chris L. |
Gaston |
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Chief of Staff, Rep. Rush Holt |
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Robert B. |
Davis |
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Adam R. |
McMahon |
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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
Proposals related to retirement plan enhancements. Proposals relating to defined benefit plans, including plan funding and multiemployer plan issues. Issues related to nonqualified deferred compensation. Work regarding automatic plans and backdoor Roth contributions. Proposals related to plan amendment deadlines. Proposals related to PEP service crediting. Proposals related to Section 401(h) surplus and VEBA surplus. Issues related to Internal Revenue Code Section 162(m). Issues related to tax incentives for retirement savings. Issues related to electronic witnessing. Proposals related to environmental, social, and governance plan investments and proxy voting. Issues related to Qualified Professional Asset Managers. Issues related to cybersecurity in retirement plans. Proposals related to stemming leakage from retirement plans. Proposals related to stable value investment offerings in defined contribution plans. Proposals related to phased retirement. Proposals related to PBGC premiums. Proposals related to retirement target date funds. Issues related to the Department of Labor's proposed regulation defining fiduciary for investment advice purposes. Proposals and regulations related to cash balance, pension equity, and other hybrid pension plans. Issues related to PBGC collections and PBGC disclosure and mediation issues. Proposals related to electronic disclosure of information under ERISA, the Internal Revenue Code, and securities law. Proposals regarding compliance of retirement plans. Issues related to Form 5500 filing and missing participants. Issues related to the use of brokerage windows in defined contribution plans. Proposals to reform the multiple employer plan rules. Proposals regarding pension risk transfers. Proposals to modify required minimum distribution rules. Proposals that would modify limits on retirement plan contributions. Proposals related to stretch IRAs. Issues related to government issued mortality tables. Proposals to amend the nondiscrimination provisions to protect older, longer service employees. State-administered retirement plan initiatives. Annuitization with respect to defined contribution plans. QLACs. Proposals that would consolidate various retirement and IRA types. Proposals regarding a retirement lost and found. Proposals related to savings accounts for emergencies. Proposals related to disaster relief. Issues related to paid family and medical leave. Work regarding 15% pension minimum tax issue. Proposals related to self-correcting inadvertent plan errors. Issues related to SEC's liquidity and swing pricing proposal. Issues related to IRS Form W-4R and W-4P. Department of Labor Secretary nomination. Issues regarding age 18 eligibility. Issues related to the SEC's predictive data analytics proposal. Issues related to Roth catch-up contribution effective date. Issues related to long term part time employees. Proposals related to automatic enrollment grandfather rules.
H.R. 3596, Rightsizing Pension Premiums Act (115th Congress).
H.R. 4830, Pension and Budget Integrity Act (117th Congress).
H.R. 5877/S. 3746, Pension Risk Transfer Accountability Act (117th Congress).
H.R. 7310, Protecting Americas Retirement Security Act (117th Congress).
S. 4153, Incentivizing Small Business Retirement Savings Act (117th Congress).
S. 4219/H.R. 7740, Employee and Retiree Access to Justice Act (117th Congress).
H.R. 7780, Mental Health Matters Act (117th Congress).
H.R. 5376, Build Back Better Act (117th Congress).
Technical corrections of H.R. 2617, Consolidated Appropriations Act of 2023, SECURE 2.0 Act of 2022 (117th Congress).
H.R. 9066/S. 4973, Retirement Savings Modernization Act (117th Congress).
H.R. 9462/S. 5271, Retirement Savings for Americans Act (117th Congress).
H.R. 4924/S. 2517, Auto Reenroll Act.
S. 2512, A bill to amend the Internal Revenue Code of 1986 to provide a credit for re-enrollment provisions in retirement plans of small employers.
H.R. 5060/S. 2627, Women's Retirement Protection Act.
H.R.7293, Automatic IRA Act of 2024.
S. 3305/H.R. 9281, Helping Young Americans Save for Retirement Act.
H.R. 8818, American Privacy Rights Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Kent A. |
Mason |
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Barbara A. |
Pate |
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Michael L. |
Hadley |
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Chris L. |
Gaston |
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Chief of Staff, Rep. Rush Holt |
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Robert B. |
Davis |
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Adam R. |
McMahon |
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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 LBR
16. Specific lobbying issues
Issues related to paid family and medical leave.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Robert B. |
Davis |
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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
Proposals related to 403(b) plan investments. Issues related to SEC's liquidity and swing pricing proposal. Issues related to the SEC's predictive data analytics proposal.
H.R. 3063/S. 4917, Retirement Fairness for Charities and Educational Institutions Act.
Technical corrections of H.R. 2617, Consolidated Appropriations Act of 2023, SECURE 2.0 Act of 2022 (117th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Kent A. |
Mason |
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Barbara A. |
Pate |
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Michael L. |
Hadley |
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Chris |
Gaston |
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Chief of Staff, Rep. Rush Holt |
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Robert B. |
Davis |
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Adam R. |
McMahon |
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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 |
CONVICTIONS DISCLOSURE
29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery,
extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
| Lobbyist Name | Description of Offense(s) |