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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1101 Pennsylvania Avenue NW, Suite 1000 |
Address2 |
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City | Washington |
State | DC |
Zip Code | 20004 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 401103932-12
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6. House ID# 431690001
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TYPE OF REPORT | 8. Year | 2018 |
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 |
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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: William Rys |
Date | 10/22/2018 1:44:19 PM |
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
Met with House to discuss ideas for housing finance reform
Met with House and Senate on FinTech
Met with House and Senate on large bank issues
Met with House and Senate staff on capital leverage matters
Met with House and Senate staff on flood insurance issues
Met with Senate staff to discuss draft financial institution bankruptcy reform legislation
Met with House and Senate issues related to data security and payments system integrity
Met with House and Senate on reauthorization of the Commodities Exchange Act and derivatives regulation
Met with House and Senate on bond market issues
Draft House Bill - the Main Street Growth Act - all provisions
Met with House on draft legislation to amend the Regulation NMS governance structure
Met with House and Senate to discuss anti-money laundering laws and draft reform legislation
Met with House and Senate to discuss the Volcker Rule
Met with House and Senate to discuss CCAR process
General issues relating to the implementation of Dodd-Frank (P.L. 111-203, the Wall Street Reform and Consumer Protection Act).
Discussion draft - the Data Acquisition and Technology Accountability and Security Act - all provisions
H.R.238 - Commodity End-User Relief Act - all provisions
H.R.1624 - Municipal Finance Support Act of 2017 - all provisions
H.R.3089, the Corporate Transparency Act of 2017 - all provisions
H.R.3280, a bill making appropriations for financial services and general government for the fiscal year ending September 30, 2018, and for other purposes - provisions related to inter-affiliate transactions and the Volker Rule
H.R.3439, the Financial Institution Security Act - all provisions
H.R.3555, the Exchange Regulatory Improvement Act - all provisions
H.R.4015, the Corporate Governance Reform and Transparency Act of 2017 - all provisions
H.R.5961, a bill making appropriations for Agriculture, Rural Development, Food and Drug Administration, and Related Agency programs for the fiscal year ending September 30, 2019, and for other purposes - provisions related to inter-affiliate transactions
H.R.5534, the GUIDE Compliance Act - all provisions
H.R.6068, the Counter Terrorism and Illicit Finance Act - all provisions
H.R.6743, the Consumer Information Notification Requirement Act - all provisions
S.488 - the JOBS and INvestor Confidence ACt of 2018 - all proivisions
S.828 - A bill to amend the Federal Deposit Insurance Act to require the appropriate Federal banking agencies to treat certain municipal obligations as level 2B liquid assets, and for other purposes -- all provisions
S.881 - 21st Century Glass-Steagall Act of 2017 - all provisions
S.2155 - the Economic Growth, Regulatory Relief, and Consumer Protection Act - all provisions
S.2098 - the Foreign Investment Risk Review Modernization Act - all provisions
S.2499 - legislation to require the Financial Industry Regulatory Authority to establish a relief fund to provide investors with the full value of arbitration awards issued against brokerage firms or brokers regulated by the Authority - all provisions
H.R. 4790 - the Volcker Rule Regulatory Harmonization Act
H.R. 4292 - the Financial Institution Living Will Improvement Act of 2017 - all provisions
H.R. 4293 - the Stress Test Improvement Act of 2017 - all provisions
H.R.5841 - the Foreign Investment Risk Review Modernization Act of 2018 - all provisions
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, White House Office, 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 |
Candida |
Wolff |
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John |
Emling |
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Paul |
Thornell |
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Kristin |
Solheim |
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Maura |
Woosley |
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Jim |
Johnson |
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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
Met with the House, Senate and Administration on H.R.1 the "Tax Cuts and Jobs Acts" - provisions related to international and corporate tax reform
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Executive Office of the President (EOP), Treasury - Dept of, Internal Revenue Service (IRS)
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 |
Candida |
Wolff |
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John |
Emling |
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William |
Rys |
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Paul |
Thornell |
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Jim |
Johnson |
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Maura |
Woosley |
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Kristin |
Solheim |
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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
Met with House and Senate Members and staff on trade issues
Met with House, Senate, and Administration on cross-border data rules
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
Candida |
Wolff |
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John |
Emling |
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William |
Rys |
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Maura |
Woosley |
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Kristin |
Solheim |
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Jim |
Johnson |
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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 BUD
16. Specific lobbying issues
Financial services issues before the House Appropriations Agriculture,Rural Development, FDA Subcommittee
The House Appropriations Financial Services and General Government Subcommittee
Senate Appropriations Agriculture, Rural Development, FDA Subcommittee
Senate Financial Services Subcommittee
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
Candida |
Wolff |
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John |
Emling |
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Jim |
Johnson |
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Maura |
Woosley |
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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 HOM
16. Specific lobbying issues
Met with House and Senate staff regarding potential cybersecurity legislation
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
Kristin |
Solheim |
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John |
Emling |
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Maura |
Woosley |
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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 INT
16. Specific lobbying issues
Met with House and Senate staff regarding potential cybersecurity legislation
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
Kristin |
Solheim |
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John |
Emling |
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Maura |
Woosley |
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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 FOR
16. Specific lobbying issues
Issues related to international economic sanctions
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
John |
Emling |
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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 |