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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 |
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| City | NEWARK |
State | NJ |
Zip Code | 07102-3777 |
Country | USA |
3. Principal place of business (if different than line 2)
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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 | 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. | ||||||||
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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 Wackerle |
Date | 10/22/2018 10:37:54 AM |
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.536 - Cybersecurity Disclosure Act
H.R. - Consumer Information Notification Requirement Act
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 |
Rex |
Wackerle |
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Lauren |
Cancienne |
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Alan |
Brubaker |
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Ralph |
Tyler |
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David |
Burns |
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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. 10, H.R. 4061, S. 2155, H.R. 3861 - Issues relating to Dodd-Frank implementation and FIO, OFR, Volcker Rule, FSOC, FSB and their associated work on topics like capital standards, non-bank SIFI designation, insurance regulation, and oversight.
No Bill # - Issues relating to U.S. - EU Covered Agreement
H.R. 4537 - International Insurance Standards Act of 2017
S. 1360 - International Insurance Capital Standards Accountability Act of 20177
No Bill # - Financial Stability Oversight Council Reform
No Bill # - Executive Order on Core Principles for Regulating the United States Financial System (February 3, 2017) and subsequent reports on banking (June 6, 2017), capital markets (October 20, 2017), and insurance and asset management (November 17, 2017)and Fintech report (July 31, 2018).
H.R. 2954 - Home Mortgage Disclosure Adjustment Act
No Bill # - GSE and FHA Housing Finance Reform
H.R. 3861 - Federal Insurance Reform Act
H.R. 4061 - Financial Stability Oversight Council Improvement Act
No Bill # - Capital Requirements for Supervised Institutions Significantly Engaged in Insurance Activities (RIN 7100 AE 53, June 14, 2016)
H.R. 5666, S. 3177 - Primary Regulators of Insurance Voting Act of 2018
No Bill # - Presidential Memorandum on FSOC Reform (April 21, 2017) and Treasury Report (November 2017)
No Bill # - CFPB v. National Collegiate Student Loan Trusts Settlement Concerns
No Bill # - Bipartisan Housing Finance Reform Act of 2018
S. 1182 - National Flood Insurance Program Extension Act of 2018
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Federal Reserve System, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Labor - Dept of (DOL), Consumer Financial Protection Bureau (CFPB), Federal Housing Finance Agency (FHFA), Federal Highway Administration (FHA), Housing & Urban Development - Dept of (HUD), Ginnie Mae
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 |
Rex |
Wackerle |
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David |
Burns |
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Alan |
Brubaker |
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Lauren |
Cancienne |
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Ralph |
Tyler |
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Roman |
Gabriel |
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Lauren |
Sarper |
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Bryan |
Pickel |
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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
S. 3218 - Strengthening Financial Security Through Short-Term Savings Accounts Act of 2018
S. 223, H.R. 3758 - SeniorSafe Act of 2017
H.R. 78 - SEC Regulatory Accountability Act
H.R. 5282, S. 2526 - Retirement Enhancement and Savings Act
H.R. 854, S. 1383 - Multiple Small Employer Plans - issues relating to MEPs/MSEPs
S. 868, H.R. 2055 - Lifetime Income Disclosure & Regulatory Issues - all provisions
H.R. 3499 - Automatic IRA - all Provisions
H.R. 4523 - Automatic Retirement Plan Act of 2017
No Bill # - Proposed DOL Fiduciary Regulations - all provisions
H.R. 4524 - Retirement Plan Simplification and Enhancement Act of 2017
H.R. 2823 - Affordable Retirement Advice for Savers Act
H.R. 3910 - To amend the IRS Code of 1986 to make lifetime income and managed accounts options of defined contribution retirement savings plans portable
No Bill # - GMWB Interpretive Issues in terms of possible guidance
H.R. 4610 - Electronic Disclosure - ERISA/Internal Revenue Code - issues/provisions relating to the use of electronic disclosure by employee benefit plans
H.R. 4610 - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act
H.R. 4604, H.R. 4637, H.R. 4524 - Issues relating to Annuity Selection Safe Harbor
H.R. 355 - Protecting American Families' Retirement Advice Act
No Bill # - General Account Legislative Fix
No Bill # - Portable Retirement Accounts Legislation
No Bill # - Qualified Professional Asset Manager (OPAM) Exception Amendment
H.R. 6757 - Family Savings Act
17. House(s) of Congress and Federal agencies Check if None
Labor - Dept of (DOL), Treasury - Dept of, U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Rex |
Wackerle |
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David |
Burns |
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Alan |
Brubaker |
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Lauren |
Cancienne |
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Ralph |
Tyler |
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Robert |
Doyle |
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Roman |
Gabriel |
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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
No Bill # - Federal Disability Insurance Program Solvency
No Bill # - "Opt-out" Enrollment Disability Insurance
S. 540, H.R. 1393 - Mobile Workforce State Income Tax Simplification Act of 2017 - all provisions
No Bill # - Issues relating to expanding IRC Section 420 Transfer Authority
No Bill # - Tax Extenders - CFC Look Through Rule
No Bill # - Annuity Tax Treatment Adjustments
H.R. 1 - Issues related to the implementation of the Tax Cuts and Jobs Act
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 |
Rex |
Wackerle |
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Lauren |
Cancienne |
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Ralph |
Tyler |
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David |
Burns |
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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 HCR
16. Specific lobbying issues
H.R. 4225, S. 2241 - DC Healthcare Exchange Fees
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 |
Rex |
Wackerle |
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David |
Burns |
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Alan |
Brubaker |
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Ralph |
Tyler |
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Lauren |
Cancienne |
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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 |