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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 99 PARK AVENUE |
Address2 | 4TH FLOOR |
City | NEW YORK |
State | NY |
Zip Code | 10016-1502 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 29163-00012
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6. House ID# 314320000
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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: Roberta Kotkin, General Counsel & Chief Operating Officer |
Date | 10/15/2010 |
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 BAN
16. Specific lobbying issues
Legislation: H.R. 4173 and S. 3217 - Financial Regulatory Reform: Capital Standards, including trust preferred securities and the Collins Amendment; Debit Card Interchange fees, including Federal Reserve fee setting standards, exemptions and the Durbin Amendment; Preemption, including State Attorneys General Authority, Visitation, The Barnett Standard and federal standards; Bank Fees, including funding for the legislation; FDIC Insurance premiums, including higher reserves, the Gutierrez amendment, (cont'd.)
and rebates; Fed Governance, including director qualification standards, selection of the New York Fed President; Derivatives, including an end user exemption; Proprietary Trading, including the Volcker Rule; Oversight of FASB and Mark-to-Market accounting standards; FHLB Lending, including loan-to-one-borrower limits; The Consumer Financial Protection Bureau, including exemption from CFPB Examination and Regulation, an appeals process from CFPB rules that interfere with safety and soundness, funding of the CFPB, the definition of "abusive," increased reporting and recordkeeping requirements and mandatory tax compliance reporting; Thrift Charter, including the opportunity for new federal thrifts; State Lending Limits preservation;
An exemption from SOX 404(b) for small, public filers; Risk retention for securitized assets; Interest on business checking;
De Novo Interstate Branching; Deposit Insurance Limits; Opposition to Usury Limits, Bankruptcy Cramdown, ATM Fee limits; Restoration of Glass-Steagall, Other Fee Restrictions; GAO Audits of the Fed; Restriction on the "Marquette" case; FHA Funding Extension - H.R. 5872; Unlawful Internet Gambling Regulation - H.R.. 2267; Interchange Regulation through the Appropriations Process; Supplemental Education and Medical Appropriations - H.R. 1586; Interstate Taxation - H.R. 1083.
Legislation to Extend SBA Loan Authority - H.R. 4938
Flood Insurance Legislation - H.R.4851; H.R.5114; H.R.5569; S.3814
Credit and Debit Card Interchange Fee Restriction Legislation - H.R. 2695
FHA Reform - H.R. 5072; H.R. 5981
Small Business Lending Capital Infusion legislation - H.R. 5297, the Small Business Lending Fund Act, including a proposed Senate amendment on expanded credit union business lending.
Regulation:
The HAMP Program for mortgage loan modifications;
SEC Risk Retention Proposal;
FDIC Transaction Account Guarantee Program;
FDIC Deposit Insurance Assessments;
Fed Amendments to Reg D authorizing term deposits for depository institutions at the Federal Reserve Banks;
Unlawful Internet Gambling Act Regulatory Implementation;
Federal Reserve Regulations governing overdraft services under Regulations E and DD;
Department of Labor Regulation Requiring posting of a notice on union organizing rights by federal contractors;
Federal Reserve Board Credit CARD Act implementing regulations, including late fee restrictions and inactivity fee restrictions; CRA amendment on foreclosed property;
Federal Bank regulatory agency guidance on incentive compensation.
Department of Justice Regulations on Access to ATM machines
S.A.F.E. Act Mortgage Loan Originator Registration
Use of credit ratings in bank capital standards
FDIC Model Safe Accounts Proposal
FDIC Overdraft Program Proposal
Fed Proposal on escrow accounts for jumbo mortgage loans
Fed Proposal on loan origination compensation
OCC Proposal on Truth in Savings Reporting for Overdrafts
Fed Proposal on Enhanced Consumer Protection for Mortgage Loans
Fed Regulation on disclosure of mortgage loan sales
FDIC Risk Retention Rules for securitized assets
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Federal Deposit Insurance Commission (FDIC), Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Treasury - Dept of, Office of Thrift Supervision (OTS), Internal Revenue Service (IRS), Federal Trade Commission (FTC), Federal Reserve System, Housing & Urban Development - Dept of (HUD), Small Business Adminstration (SBA), Federal Bureau of Investigation (FBI), White House Office
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 |
Michael P. |
Smith |
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Roberta |
Kotkin |
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William J. |
Bosies |
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Karen |
Jannetty |
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Stephen W. |
Rice |
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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 |