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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1501 M STREET, N.W., Suite 600 |
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| City | WASHINGTON |
State | DC |
Zip Code | 20005-1755 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 4675-12
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6. House ID# 312420000
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| TYPE OF REPORT | 8. Year | 2013 |
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: Ralph P. Kass, Controller |
Date | 01/20/2014 |
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
Fiscal Year 2014 Budget Proposal employer-sponsored retirement and health care benefits
House Concurrent Resolution No. 25/Fiscal Year 2014 budget resolution; Path to Prosperity: A Responsible, Balanced Budget
Senate Concurrent Resolution No. 8/Fiscal Year 2014 budget resolution; Foundation for Growth: Restoring the Promise of American Opportunity
Bipartisan Budget Act of 2013
American Taxpayer Relief Act of 2012 (ATRA) fiscal cliff, employee benefits provisions American Family Economic Protection Act Senate Sequester offset package
Tax reform/Deficit reduction tax incentives for employer-sponsored pension and retirement savings plans
Senate Finance Committee Tax Reform/Expenditures, Clean Slate proposals
Tax Extenders Act of 2013 S. 1859
Financial Services Reform implementation of Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act
Burdensome Data Collection Relief Act H.R. 1135
Retail Investors Protection Act H.R. 2374
Pension Funding/Stabilization defined benefit pension funding stabilization and related plan issues - de-risking defined benefit (DB) plans, Nondiscrimination rules applicable to defined benefit (DB) plans/Frozen plan issues
Moving Ahead for Progress in the 21st Century (MAP-21) Act of 2012
Retirement Savings Plan Issues Retirement Coverage & Adequacy
Shrinking Emergency Account Losses Act of 2013 (SEAL Act) S. 606
Savings for American Families Future Act of 2013 H.R. 837
Cooperative and Small Employer Charity Pension Flexibility Act S. 1302
Secure Annuities for Employee (SAFE) Retirement Act of 2013 S. 1270
Lifetime Income Disclosure Act S. 1145/H.R. 2171
Retirement Plan Simplification and Enhancement Act of 2013 H.R. 2117
Pension modernization - The Retirement Crisis and a Plan to Solve It USA Retirement Funds Senate Health, Education, Labor & Pensions Committee
Achieving a Better Life Experience (ABLE) Act H.R. 647/S. 313
Pension Benefit Guaranty Corporation (PBGC) premiums, calculation of deficit and related governance issues, proposed ERISA Section 4062 (e) regulations, rules for companies in bankruptcy, Lost, Missing Participants
Investment Advice defined contribution plans, plan fees, definition of a fiduciary, investment options in 401(k) and similar participant-directed individual account plans, electronic communication, disclosure, plan administration and related issues, lifetime income illustrations
Other Issues
Hybrid retirement plan designs implementation of the Pension Protection Act (PPA), finalization of proposed regulations
Health care provider compensation Internal Revenue Code Section 162 (m) (6) performance-based compensation
Foreign bank account reporting, Report of Foreign Bank and Financial Accounts (FBAR)
International Accounting Standards Board (IASB) accounting rules for pensions and other post-employment benefits
Foreign Account Taxpayer Compliance Act (FATCA) exemption for foreign retirement plans
International benefits issues/Puerto Rican plan trust issues/Swaps
Regulation of money market funds
Multiemployer plan issues
Distribution of retirement plan assets and notice requirements clarification of in-plan Roth conversions
Financial Accounting Standards Board FASB/SEC Accounting Discount rules
Retirement plan/Pension benefit statements
Defense of Marriage Act (DOMA)/U.S. Supreme Court case regulatory implementation issues related to employer-sponsored health and retirement benefits
Mutual fund plan issues
Long-Term care policy
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Pension Benefit Guaranty Corporation (PBGC), Internal Revenue Service (IRS), Treasury - Dept of, Securities & Exchange Commission (SEC), Labor - Dept of (DOL)
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 |
James |
Klein |
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Lynn |
Dudley |
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Diann |
Howland |
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Janet |
Jacobson |
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Jill |
Randolph |
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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
Health Care Reform ongoing implementation of the Patient Protection and Affordable Care Act (PPACA)
American Job Protection Act H.R. 903
Preserving our Hometown Independent Pharmacies Act of 2013 H.R. 1188
Forty Hours is Full Time Act of 2013 S. 1188
Medical FSA Improvement Act of 2013 H.R. 1634
Tax Extenders Act of 2013 S. 1859
Save American Workers Act of 2013 H.R. 2575
Authority for Mandate Delay Act H.R. 2667
Fairness for American Families Act H.R. 2668
Tax Parity for Health Plan Beneficiaries Act of 2013 H.R. 2499/S. 728
To amend section 1341 of the Patient Protection and Affordable Care Act to repeal the funding mechanism for the transitional reinsurance program in the individual market, and for other purposes H.R. 3489
Fiscal Year 2014 Budget Proposal employer-sponsored retirement and health care benefits
House Concurrent Resolution No. 25/ Fiscal Year 2014 budget resolution; Path to Prosperity: A Responsible, Balanced Budget
Senate Concurrent Resolution No. 8/Fiscal Year 2014 budget resolution; Foundation for Growth: Restoring the Promise of American Opportunity
Bipartisan Budget Act of 2013
Other Issues
Health care provider compensation Internal Revenue Code Section 162 (m) (6)
Electronic disclosure, communication by employee benefit plans
Consumer directed health care plans HDHPs, HSAs, HRAs
FSA Plans Modification of Use or Loose Rule
Mental Health Parity and Addictions Equity Act of 2008 (MHPAEA) final implementation regulations
HIPAA Privacy Regulations/HITECH Act, GINA
Defense of Marriage Act (DOMA)/U.S. Supreme Court case regulatory implementation issues related to employer-sponsored health and retirement benefits
Long-Term care policy
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Internal Revenue Service (IRS), Treasury - Dept of, Labor - Dept of (DOL), Health & Human Services - Dept of (HHS), Centers For Medicare and Medicaid Services (CMS)
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 |
James |
Klein |
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Kathryn |
Wilber |
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Lynn |
Dudley |
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Diann |
Howland |
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Jill |
Randolph |
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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 |