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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 751 BROAD STREET |
Address2 | |
| City | NEWARK |
State | NJ |
Zip Code | 07102 |
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# 32338-12
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6. House ID# 317040000
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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. | ||||||||
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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 |
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| Signature | Digitally Signed By: Rex B. Wackerle |
Date | 10/22/2012 |
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. 940 & S. 1835 - United States Covered Bond Act of 2011
H.R. 1062 - The Burdensome Data Collection Relief Act
H.R. 1573 - To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act,
promote regulatory coordination, and avoid market disruption
No Bill - Issues relating to GSE & Housing Finance Reform
H.R. 2308 - SEC Regulatory Accountability Act
H.R. 2779 - To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street
Reform and Consumer Protection Act.
H.R. 3475 - Keep IDs Safe Act
No Bill - Implementation of Title I, Subtitle CAdditional Board of Governors Authority for Certain Nonbank Financial Companies and Bank Holding Companies of the Dodd-Frank Act
No Bill - Implementation of Title I, Subtitle AFinancial Stability Oversight Council of the Dodd-Frank Act
No Bill - Implementation of Section 619 of the Dodd-Frank Act - Prohibitions on proprietary trading and certain relationships with hedge funds and private equity funds
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), 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 |
Roman |
Gabriel |
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Alan |
Brubaker |
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Rex |
Wackerle |
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David |
Burns |
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Lauren |
Kelm |
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Sheila |
Greenwood |
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Ralph |
Tyler |
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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. 1534 - Small Businesses Add Value for Employees (SAVE) Act
H.R. 677 -Lifetime Income Disclosure Act & Regulatory Issues
S. 1557 / H.R. 4049 - Automatic IRA of 2012
No Bill - Proposed Department of Labor Fiduciary Regulations
No Bill - Guaranteed Minimum Withdrawal Benefit Interpretive Issues
No Bill - Electronic Disclosure - ERISA/Internal Revenue Code
No Bill - Issues Relating to Multiple Employer Plans
H.R. 4050 - Retirement Plan Simplification and Enhancement Act of 2012
Department of Labor Guidance on Self-Directed Brokerage / FAB 2012-02 Q&A 30
408b-2 Service Provider Fee Disclosure Regulatory Issues
17. House(s) of Congress and Federal agencies Check if None
Treasury - Dept of, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Labor - Dept of (DOL), Internal Revenue Service (IRS), Office of Management & Budget (OMB)
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 |
David |
Burns |
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Robert |
Doyle |
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Alan |
Brubaker |
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Lauren |
Kelm |
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Rex |
Wackerle |
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Ralph |
Tyler |
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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. 12 - The American Jobs Act
S. 1557 / H.R. 4049 - Automatic IRA of 2012
H.R. 1864 - The Mobile Workforce State Income Tax Simplifications Act of 2011
H.R. 3630 - Temporary Payroll Tax Cut Continuation Act of 2011
S. 2048 - A Bill to amend the Internal Revenue Code of 1986 to clarify the tax treatment of certain life insurance contract transactions, and for other purposes
H.R. 749 - To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing
income
No Bill - President Obama's FY2013 Budget
No Bill - Comprehensive Tax Reform
S. 1813- Highway, Job Creation, and Economic Growth Act of 2012
No Bill - Issues relating to tax extensions
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 |
Alan |
Brubaker |
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David |
Burns |
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Rex |
Wackerle |
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Ralph |
Tyler |
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Lauren |
Kelm |
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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 TRD
16. Specific lobbying issues
H. R. 2832 - A bill to extend the General System of Preferences
No Bill - Issues relating to privatization of Japan Postal Life Insurance Company
No Bill - Issues relating to Japan insurance regulatory reform
No Bill - Issues relations to transparency and market access issues generally related to interenational insurance and investment
operations
No Bill - Issues relating to US-China Strategic and Economic Dialogue
No Bill - Issues relating to India financial services market access and equity ownership issues
No Bill - Issues relating to Asia-Pacific Economic Cooperation, a multi-lateral economic and trade forum, privacy issues
No Bill - Issues relating to International Trade issues impacting the U.S. Insurance Companies operating in foreign markets
No Bill - Trans Pacific Partnership
17. House(s) of Congress and Federal agencies Check if None
U.S. Trade Representative (USTR), U.S. HOUSE OF REPRESENTATIVES, 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 |
Bryan |
Pickel |
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David |
Burns |
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Rex |
Wackerle |
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Alan |
Brubaker |
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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. 3414 - Cybersecurity Act of 2012
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, 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 |
Lauren |
Kelm |
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Ralph |
Tyler |
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Rex |
Wackerle |
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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 VET
16. Specific lobbying issues
S. 951 - Hiring Heroes Act
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 |
Alan |
Brubaker |
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Rex |
Wackerle |
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Lauren |
Kelm |
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Ralph |
Tyler |
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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 | 3 | 5 |
| 2 | 4 | 6 |
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 | 5 | 9 |
| 2 | 6 | 10 |
| 3 | 7 | 11 |
| 4 | 8 | 12 |