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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 | 2015 |
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 | 1/20/2016 1:32:55 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 BNK
16. Specific lobbying issues
Puerto Rico Chapter 9 Bankruptcy
17. House(s) of Congress and Federal agencies Check if None
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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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 FIN
16. Specific lobbying issues
H.R. 1090 - Retail Investor Protection Act (Wagner)
H.R. 1216 - Maker-Taker Conflict of Interest Reform Act of 2015 (Lynch)
H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross)
H.R. 2187 - Fair Investment Opportunities for Professional Experts Act (Schweikert)
H.R. 2356 - Fair Access to Investment Research Act of 2015 (Hill)
H.R. 3610 - Puerto Rico Investor Protection Act of 2015 (Velazquez)
H.R. 3189 - Fed Oversight Reform and Modernization Act of 2015 (Huizenga)
H.R. 3738 - Office of Financial Research Accountability Act of 2015 (Royce)
H.R. 4216 - Consumer Financial Choice and Capital Markets Protection Act (Moore)
Helping Angels Lead our Startups Act (Chabot)
S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby)
S. 1802 - Consumer Financial Choice and Capital Markets Protection Act (Toomey)
FSOC Review of Asset Management Sector for Potential SIFI Designations
Financial Stability Board
CFTC Rule 4.5
Exchange-Traded Funds
Structure of the U.S. Securities Markets
Proxy Advisory Services
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, White House Office
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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Michelle |
Mesack |
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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. 245 - Automatic IRA Act of 2015 (Whitehouse)
S. 266 - Retirement Security Act of 2015 (Collins)
S. 1317 - Lifetime Income Disclosure Act (Isakson)
H.R. 506 - Automatic IRA Act of 2015 (Neal)
H.R. 557 - Retirement Security Act of 2015 (Buchanan)
H.R. 2317 - Lifetime Income Disclosure Act (Messer)
H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis)
H.R. 3922 - Retirement Choice Protection Act of 2015 (Kelly)
H.R. 4293 - Affordable Retirement Advice Protection Act (Roe)
H.R. 4294 - Strengthening Access to Valuable Education and Retirement Support Act(Roskam)
Department of Labor Fiduciary-Standard Rule Proposal
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, White House Office, Labor - Dept of (DOL)
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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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. 324 - Shrinking Emergency Account Losses Act of 2015 (Enzi)
H.R. 2029 - Protecting Americans from Tax Hikes Act of 2015
Retirement Savings Tax Incentives
Capital Gains and Dividend Tax Rates
International Regulated Investment Company
Tax-Exemption for Municipal Bond Interest
ABLE Act Implementation
Financial Transaction Tax
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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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 INT
16. Specific lobbying issues
S. 754 - Cybersecurity Information Sharing Act of 2015 (Burr)
H.R. 2029 - Cybersecurity Act of 2015
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 |
Donald |
Auerbach |
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Dean |
Sackett |
III |
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Michelle |
Mesack |
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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
H.R. 2029 - Consolidated 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 |
Michelle |
Mesack |
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Dean |
Sackett |
III |
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Donald |
Auerbach |
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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 CSP
16. Specific lobbying issues
H.R. 2205 - Data Security Act of 2015 (Neugebauer)
17. House(s) of Congress and Federal agencies Check if None
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 |
Don |
Auerbach |
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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 |