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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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5. Senate ID# 20128-12
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6. House ID# 311170000
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TYPE OF REPORT | 8. Year | 2017 |
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: Dean R. Sackett III |
Date | 1/19/2018 2:38:32 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 FIN
16. Specific lobbying issues
H.R. 1585 - Definition of Accredited Investor (Schweikert)
H.R. 2319 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Rothfus)
H.R. 3555 - Exchange Regulatory Improvement Act (Loudermilk)
H.R. 3758 - Senior Safe Act of 2017 (Sinema)
H.R. 3857 - Protecting Advice for Small Savers Act of 2017 (Wagner)
H.R. 4015 - Corporate Governance Reform and Transparency Act of 2017 (Duffy)
H.R. 4061 - Financial Stability Oversight Council Improvement Act of 2017 (Ross)
H.R. 4279 - Expanding Investment Opportunities Act (Hollingsworth)
H.R. 4566 - Alleviating Stress Test Burdens to Help Investors Act (Poliquin)
S. 223 - Senior Safe Act of 2017 (Collins)
S. 1117 - Consumer Financial Choice and Capital Markets Protection Act of 2017 (Toomey)
S. 2155 - Economic Growth, Regulatory Relief and Consumer Protection Act (Crapo)
FSOC Procedures for SIFI Designation of Nonbank Financial Companies
Financial Stability Board
Electronic Delivery of Mutual Fund Shareholder Reports
CFTC Rule 4.5
Exchange-Traded Funds
US Equity and Fixed Income Market Structure
Section 36(b) of the Investment Company Act of 1940
Volcker Rule
MiFID II
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 |
Dean |
Sackett |
III |
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Donald |
Auerbach |
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Peter |
Gunas |
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Andrew |
Goldenbaum |
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Kelly |
Hitchcock |
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Kerry |
Cole |
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Elena |
Chism |
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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
H.R. 2055 - Lifetime income Disclosure Act (Messer)
H.R. 2823 - Affordable Retirement Advice for Savers Act (Roe)
H.R. 4158 - Retirement Plan Modernization Act (Walberg)
H.R. 4604 - Increasing Access to a Secure Retirement Act of 2017 (Walberg)
H.R. 4610 - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act
S. 868 - Lifetime Income Disclosure Act (Isakson)
S. 1321 - Affordable Retirement Advice Protection Act (Isakson)
Retirement Enhancement and Savings Act (Hatch)
DOL Fiduciary Rule
QDIAs
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 |
Peter |
Gunas |
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Dean |
Sackett |
III |
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Donald |
Auerbach |
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Allen |
Huffman |
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Elena |
Chism |
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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
H.R. 1 - To provide for reconciliation pursuant to titles II and V to the concurrent resolution on the budget for fiscal year 2018 (Brady)
H.R. 3910 - Portability of Lifetime Income and Managed Account Options (Neal)
H.R. 4204 - International Regulated Investment Company Act of 2017 (Marchant)
H.R. 4523 - Automatic Retirement Plan Act of 2017 (Neal)
H.R. 4524 - Retirement Plan Simplification and Enhancement Act of 2017 (Neal)
H.R. 4637 - Small Business Add Value for Employees (SAVE) Act of 2017 (Kind)
S. 940 - Shrinking Emergency Account Losses Act of 2017 (Enzi)
S. 1005 - Modernization of Derivatives Tax Act of 2017 (Wyden)
Preserving Retirement Savings Tax Incentives
Tax-Exemption for Municipal Bond Interest
Mandatory First-in, First-out cost Basis
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Peter |
Gunas |
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Dean |
Sackett |
III |
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Donald |
Auerbach |
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Allen |
Huffman |
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Andrew |
Goldenbaum |
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Elena |
Chism |
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Karen |
Gibian |
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Katie |
Sunderland |
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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 BUD
16. Specific lobbying issues
FY 2018 Financial Services and General Government Appropriations Act
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 |
Dean |
Sackett |
III |
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Donald |
Auerbach |
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Andrew |
Goldenbaum |
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Kelly |
Hitchcock |
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Kerry |
Cole |
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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 CSP
16. Specific lobbying issues
S. 1811 - Merger Enforcement Improvement Act (Klobuchar)
17. House(s) of Congress and Federal agencies Check if None
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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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 |