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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 101 CONSTITUTION AVE., NW #912 WEST |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
City | Minneapolis |
State | MN |
Zip Code | 55474 |
Country | USA |
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5. Senate ID# 302313-12
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6. House ID# 378270000
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TYPE OF REPORT | 8. Year | 2011 |
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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
Date | 10/20/2011 |
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 AVI
16. Specific lobbying issues
S. 1477 BARR Preservation Act of 2011; entire bill
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 |
Denise |
Ferguson |
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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 ECN
16. Specific lobbying issues
S. 365 Budget Control Act of 2011; provisions relating to the debt ceiling limit(s) and federal deficits in terms of implications to long-term economic growth
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 |
Denise |
Ferguson |
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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. 940 United States Covered Bond Act of 2011; entire bill
H.R. 1062 - Burdensome Data Collection Relief Act; provisions applicable to financial institutions
H.R. 1528 - Consumer Privacy Protection Act of 2011; provisions applicable to financial institutions
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; entire bill
H.R. 1610 - Business Risk Mitigation and Price Stabilization Act of 2011; entire bill
H.R. 2434 Financial Services and General Government Appropriations Act, 2012; report language on Volcker Rule and insurance companies general account investments
H.R. 2577 SAFE Data Act; provisions applicable to financial institutions
H.R. 2827 To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes; provisions relating to broker dealers
S. 799 Commercial Privacy Bill of Rights Act of 2011; provisions affecting financial institutions
S. 947 A bill to provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes; entire bill
S. 1151 Personal Data Privacy and Security Act of 2011; provisions applicable to financial institutions
S. 1207 Data Security and Breach Notification Act of 2011; provisions applicable to financial institutions
S. 1434 Data Security Act of 2011; provisions applicable to financial institutions
S. 1606 Regulatory Accountability Act of 2011; entire bill
S. 1615 Financial Regulatory Responsibility Act of 2011; entire bill
Dodd Frank Act; provisions relating to the impact of Volcker Rule on international operations of U.S. asset managers
SEC report to Congress on Sections 913 and 914 of the Dodd Frank Act regarding the standard of care and oversight comparability of broker dealers and investment advisers (including draft legislation entitled Investment Adviser Oversight Act of 2011)
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 |
Denise |
Ferguson |
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Christopher |
McCannell |
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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 INS
16. Specific lobbying issues
H.R. 1026 Flood Insurance Reform Priorities Act of 2011; entire bill
H.R. 1112 - National Association of Registered Agents and Brokers Reform Act of 2011; entire bill
H.R. 1173 - Fiscal Responsibility and Retirement Security Act of 2011; provisions relating to the CLASS Act
H.R. 1309 - Flood Insurance Reform Act of 2011; entire bill
S. 1091 COASTAL Act of 2011; entire bill
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 |
Denise |
Ferguson |
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Christopher |
McCannell |
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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. 677 - The Lifetime Income Disclosure Act; entire bill
H.R. 1534 Small Businesses Add Value for Employees (SAVE) Act; entire bill
S. 267 - Lifetime Income Disclosure Act; entire bill
S. 1020 The Savings Enhancement by Alleviating Leakage in 401(k) Savings Act; entire bill
S. 1557 Automatic IRA Act of 2011; entire bill
Department of Labors proposed rule modifying the definition of ERISA fiduciary and its implications for the provision of advice on qualified retirement savings
Deficit Reduction: importance and value of existing tax incentives designed to promote long-term savings (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), White House Office, 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 |
Denise |
Ferguson |
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Christopher |
McCannell |
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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. 605 Patients Freedom to Choose Act; entire bill
H.R. 749 To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income; entire bill
H.R. 1004 - Medical Flexible Spending Account Improvement; entire bill
H.R. 1151 - Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011; entire bill
H.R. 1439 Business Activity Tax Simplification Act of 2011; entire bill
H.R. 1864 Mobile Workforce State Income Tax Simplification Act of 2011; entire bill
H.R. 2010 The Family and Retirement Health Investment Act; entire bill
H.R. 2088 The Tax Parity for Health Plan Beneficiaries Act; entire bill
S. 312 Patients Freedom to Choose Act; entire bill
S. 1098 The Family and Retirement Health Investment Act; entire bill
S. 1171 - Tax Parity for Health Plan Beneficiaries Act of 2011; entire bill
Administrations FY 2012 Budget Proposal; provisions relating to the taxation of insurance companies (DRD) and their products (COLI), independent contractor, auto IRA, RMD modifications, and financial crisis responsibility fee
Administrations deficit reduction plan; provisions relating to limiting itemized deductions and certain exclusions to 28%, DRD, worker classification
Administrations Jobs Bill; provisions limiting deductions and exclusions
Tax Reform/Deficit Reduction; provisions relating to the importance and value of existing tax incentives designed to promote long-term savings (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications
Estate Tax; provisions relating to the need for clarification as to post-2012 treatment as to elections made under P.L. 111-312
FATCA; provisions relating to the implications for in-bound U.S. investments and U.S.-owned asset managers compliance burdens
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 |
Denise |
Ferguson |
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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 |