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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 901 15th Street, NW |
Address2 | Suite 600 |
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# 29174-24
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6. House ID# 312170000
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TYPE OF REPORT | 8. Year | 2012 |
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: George Nichols III, Senior Vice President |
Date | 01/22/2013 |
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
Issues related to the regulation of systemically important nonbank financial institutions and savings and loan holding companies by the Federal Reserve
Issues related to the modernization of insurance regulation
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 |
George |
Nichols |
III |
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Julie |
Herwig |
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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
Issues related to the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, including provisions related to derivatives, as well as the standard of care and regulatory oversight of broker-dealers and investment advisers
HR 2634, Investment Adviser Oversight Act, all provisions
HR 2827, Municipal Advisers Act, all provisions
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 |
George |
Nichols |
III |
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Elizabeth |
Varley |
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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
HR 1534, Savings are Vital to Everyone Act, all provisions
S 2832, Lifetime Income Disclosure Act, all provisions
Department of Labor regulation on definition of fiduciary in ERISA
Joint project by Departments of Labor and Treasury to promote the use of lifetime income products
Department of Labor regulations regarding fee disclosure
Department of Labor initiative regarding electronic disclosure
HR 4050, Retirement Plan Simplification and Enhancement Act of 2012, all provisions
HR 4049, Auto IRA Act of 2012, provisions regarding R-bonds
Issues related to implementation of Pub. Law 112-141, Moving Ahead for Progress in the 21st Century Act, provisions related to pension
Department of Treasury regulations on qualified longevity annuity contracts
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, 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 |
George |
Nichols |
III |
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Elizabeth |
Varley |
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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
Issues related to the Administration's FY 2013 budget proposals on corporate owned life insurance and the dividends received deduction; the tax treatment of qualified savings; and the tax treatment of life insurance and lifetime income products generally
Issues related to the "transfer of value" of insurance products
Department of Treasury regulations on qualified longevity annuity contract rules
Issues regarding Internal Revenue Service's Priority Guidance Plan, with focus on principles based reserves
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 |
George |
Nichols |
III |
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Doug |
Lathrop |
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Elizabeth |
Varley |
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Jon |
Paone |
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Julie |
Herwig |
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Emily |
Gonce |
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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
Pub. Law 110-233, Genetic Information Nondiscrimination Act, implementation of provisions affecting long-term care insurance
17. House(s) of Congress and Federal agencies Check if None
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 |
George |
Nichols |
III |
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Doug |
Lathrop |
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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 CPI
16. Specific lobbying issues
S 2015, Cybersecurity Act of 2012, Title I, regarding the regulation of critical cyber infrastructure
Issues related to identification and regulation of critical infrastructure
17. House(s) of Congress and Federal agencies Check if None
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 |
George |
Nichols |
III |
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Julie |
Herwig |
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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 |