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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1295 STATE STREET |
Address2 | |
City | SPRINGFIELD |
State | MA |
Zip Code | 01111-0001 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 23986-12
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6. House ID# 319680000
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TYPE OF REPORT | 8. Year | 2013 |
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 | |||||||||
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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: Alison B. Weiss, Vice President |
Date | 04/22/2013 |
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 INS
16. Specific lobbying issues
"The Dodd-Frank Wall Street Reform and Consumer Protection Act", P.L. No. 111-203 - Regulatory implementation of provisions relating to insurance companies.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, 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 |
Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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
Regulatory Implementation of the "Patient Protection & Affordable Care Act (PPACA)".
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Health & Human Services - Dept of (HHS), Labor - Dept of (DOL), 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 |
Camille |
Donald |
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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
See Addendum.
S. 267, "Lifetime Income Disclosure Act".
S. 1557, "Automatic IRA Act of 2011" - a bill to amend the Internal Revenue Code to promote and simplify Qualified Plans.
S. Con. Res (62), expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans.
H.R. 677, "Lifetime Income Disclosure Act".
H.R. 4049, "Automatic IRA Act of 2012", - Amends the Internal Revenue Code to require certain employers who do not maintain qualifying retirement plans or arrangements to make available to their eligible employees a payroll deposit individual retirement account (IRA) arrangement.
H.R. 4050, "Retirement Plan Simplification and Enhancement Act of 2012".
H. Con. Res. 101, expressing the sense of the Congress that our current tax incentives for retirement savings provide important benefits to Americans.
No Bill Number - a proposal for e-disclosure for all required ERISA/IRSC notices.
No Bill Number - The Shrinking Emergency Account Loses Act of 2013 (SEAL) - a bill to give workers, who leave their jobs, up until the time they file their federal taxes to repay outstanding loans under DC plan.
No Bill Number - The Universal Secure and Adaptable (USA) Retirement Fund - a proposal to increase retirement coverage.
Dept. of Labor, final rul adding Section 2520.104(b)-1(c), Electronic Distribution of Disclosures Required by Title 1 of ERISA, 75 FR 19285 (4/7/11).
Dept. of Labor, proposed rule amending Section 2510.3-21 c, (definition of term "fiduciary"), 75 FR 65263 (10/22/10).
Dept. of Labor proposed rule amending Section 2550.404a-4, Selection of Insurers to provide guaranteed retirement income- safe harbor for individual account plans.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Camille |
Donald |
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Alison |
Weiss |
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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
See Addendum.
S. 21, "The Cybersecurity and American Cyber Competitiveness Act of 2013".
H.R. 624, "Cyber Intelligence and Security Protection Act".
H.R. 1062, "SEC Regulatory Accountability Act of 2013" - a bill to improve consideration by the SEC of the costs and benefits of its regulations and orders.
H.R. 1256, "Swap Jurisdiction Certainty Act", a bill that directs the SEC and CFTC to issue rules jointly relating to swaps transacted between U.S. persons and non-U.S. persons.
H.R. 2308, "SEC Regulatory Accountability Act".
H.R. 6204, "SEC proposed rule on Mutual Fund Distribution Fees".
SEC Release No. 34-69013 - Request for data and other information related to the duties of brokers, dealers and investment advisers.
SEC Proposed Rule, "Registration of Municipal Advisors", 17 CFR, Parts 240 and 249, 76 FR 824-969 (1/6/11).
SEC and CFTC, proposed rule 17 CFR Part 240, further definition of "Swap Dealer", "Security Based Swap Dealer", "Major Swap Participant", etc., SEC Release No. 24-63452 (12/7/10).
SEC Study on Investment Advisers and Broker-Dealers, as required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (June 2011).
SEC Study on Enhancing Investment Adviser Examiniations, prepared by the staff of the Securities and Exchange Commission (SEC) under Section 914 of the Dodd-Frank Act.
FDIC Interim Final Rule on Orderly Liquidation Authority (1/25/11).
Financial Stability Oversight Counsel, Notice of proposed rulemaking regarding authority to require supervision of certain non-bank financial companies, (1/26/11).
Proposed Rules regarding incentive based compensation arrangements by seven federal agencies, including the SEC, to implement Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (3/3/11).
Section 9541, "Dodd Frank Wall Street Reform & Consumer Protection Act", Notice of proposed rulemaking, Credit Risk Retention SEC, (Release No. 34-64603; File No. S7-14-11).
"The Dodd-Frank Wall Street Reform and Consumer Protection Act", P.L. No. 111-203 - Regulatory implementation of provisions relating to insurance companies.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Federal Reserve System, Securities & Exchange Commission (SEC), 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 |
Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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
See Addendum.
S. 1647, the "Tax Hike Prevention & Business Certainty Act", a bill that would maintain and extend the current tax rates on capital gains and dividends.
H.R. 8, "The American Taxpayer Relief Act of 2012" - the fiscal cliff bill, averting scheduled income tax rate increases and the spending reductions required by the sequestration process.
H.R. 3091, the "Tax Hike Prevention & Business Certainty Act", a bill that would maintain and extend the current tax rates on capital gains and dividends.
No Bill Number - Treasury Department Explanation of the Administration's FY-2013 Budget Tax proposals to (1) modify the dividends received deduction for life insurance company's general investment and separate accounts; (2) reporting of sales of existing life insurance contracts with a death benefit of $1M or more; (3) interest expense disallowance for corporate-owned life insurance (COLI) policies; and (4) international tax reforms. General explanations of the Administration's FY-2012 Revenue Proposals, Department of Treasury, "Green book".
FATCA, Notice 2011-34 - Supplemental notice to Notice 2010-60, providing further guidance and requesting comments under Chapter 4 of Subtitle A of the code.
Various proposals regarding deficit reduction with respect to retirement security.
Various proposals related to the president's plan for economic growth and deficit reduction as it relates to (1) the tax exempt status of municipal bond interest, apping the amount of the tax deductibility on municipal bonds at 28%, below the current top tax rates.
No Bill Number - Select Revenue Measures Subcommittee Hearing on the international tax reform discussion draft to solicit feedback on the details of the corporate rate cut and participation exemption (i.e., territorial) system in an effort to include as part of comprehensive tax reform (10/26/11).
Financial Product Tax Reform discussion draft released by House Ways & Means Committee.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
Camille |
Donald |
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Mary |
Kertz |
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Alison |
Weiss |
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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 |