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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1331 L Street, NW, Suite 310 |
Address2 | |
City | Washington |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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State | |
Zip Code | |
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5. Senate ID# 285494-12
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6. House ID# 369900000
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TYPE OF REPORT | 8. Year | 2010 |
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: Catherine Weatherford, President and CEO |
Date | 01/20/2011 |
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
Legislation and rulemakings affecting annuities, variable life products, and retirement savings including Administration and Congressional proposals on financial regulatory reform.
S. 1297-"Retirement Security for Life Act", legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a summary prospectus for variable annuities.
S. 2832-Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents.
HR 2554, commonly known as NARAB II. Legislation to reform the National Association of Registered Agents and Brokers to provide for streamlined non-resident insurance agent and broker licensing.
Proposals at the Department of Treasury for increasing Americans access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans access to guaranteed lifetime income solutions.
Proposals with the Security and Exchange Commission for a study and potential rulemaking on the harmonization of the standard of care for investment advisors and broker-dealers.
Department of Labor proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Karen |
Alvarado |
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Lee |
Covington |
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John |
Little |
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Senator Martinez, Chief of Staff (2005-2008) |
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John |
Little |
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Senator Sessions Leg Director (2003-2005) |
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
Legislation and rulemakings affecting annuities, variable life products, and retirement savings.
S. 1297-Retirement Secruity for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
S. 2832-Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents.
HR 4742-legislation to simplify Simple IRAs and provides for voluntary Auto-IRAs.
S.3760/HR 6099-Automatic IRA Act of 2010, legislation that provides for mandatory IRAs for workers without pension coverage.
Proposals at the Department of Treasury for increasing Americans access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans access to guaranteed lifetime income solutions.
Department of Labor proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
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 |
Karen |
Alvarado |
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Lee |
Covington |
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John |
Little |
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Senator Martinez, Chief of Staff (2005-2008) |
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John |
Little |
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Senator Sessions Leg. Director (2003-2005) |
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
Legislation and rulemakings related to the tax treatment of annuities, variable life products, and retirement savings.
S. 1297-Retirement Security for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
Discussion of proposals at the Department of Treasury to amend the tax code in order to increase American's access to guaranteed lifetime income solutions.
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 |
Karen |
Alvarado |
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Lee |
Covington |
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John |
Little |
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Senator Martinez Chief of Staff (2005-2008) |
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John |
Little |
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Senator Sessions Leg. Director (2003-2005) |
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
Legislation and rulemakings affecting annuities, variable life products, and retirement savings including Administration and Congressional proposals on financial services reform.
S. 1297-Retirement Security for Life Act, legislation to provide tax incentives for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a summary prospectus for variable annuities.
S. 2832-Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents.
Proposals at the Department of Treasury for increasing Americans access to guaranteed lifetime income
solutions.
Proposals at the Department of Labor for increasing Americans access to guaranteed lifetime income solutions.
Department of Labor proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Proposals with the Security and Exchange Commission for a study and potential rulemaking on the harmonization of the standard of care for investment advisors and broker-dealers.
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 |
Karen |
Alvarado |
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Lee |
Covington |
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John |
Little |
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Senator Martinez Chief of Staff (2005-2008) |
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John |
Little |
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Senator Sessions Leg. Director (2003-2005) |
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 |