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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1295 STATE STREET |
Address2 | |
| City | SPRINGFIELD |
State | MA |
Zip Code | 01111-0001 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 23986-12
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6. House ID# 319680000
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| TYPE OF REPORT | 8. Year | 2009 |
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: Kenneth S. Cohen, Sr. Vice President & Deputy General Counsel |
Date | 01/15/2010 |
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 INS
16. Specific lobbying issues
See Addendum
S. 1679, "Affordable Health Choices Act", Subtitle H - Class Act, Section 190 and 191.
S. ____, "Restoring American Financial Stability Act" (11/10/09 discussion draft, prepared by Senator Dodd).
H.R. 3590, the "Patients Protection and Affordable Health Care Act", Title VIII - The Class Act.
H.R. 3669, "Employer Owned Life Insurance Limitation Act".
H.R. 3962, The "Affordable Health Care for Americans Act", Section 544 Class Program, treated in same manner as long-term care insurance and section 1739.
H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009".
Senate Committee on Aging: Information relating to "Stranger-Owned Life Insurance" - April 29, 2009 Hearing: "Betting on Death in the Life Settlement market - What's at Stake for Seniors" - No Bill Number.
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 |
Kenneth |
Cohen |
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Alison |
Weiss |
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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
See Addendum
S. 1153, "Tax Equity for Health Plan Beneficiaries Act".
H.R. 2625, "Tax Equity for Heath Plan Beneficiaries Act".
H.R. 3590, The "Patient Protection and Affordable Health Care Act".
H.R. 3962, "The Affordable Health Care for Americans Act", Section 571, Parity in Health Benefits.
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 |
Kenneth |
Cohen |
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Steven |
Pfrang |
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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
See Addendum
S. 157, "Retirement Account Distribution Improvement Act of 2009".
S. 401, "Defined Contribution Fee Disclosure Act of 2009".
S. 2832, "Lifetime Income Disclosure Act".
S.____, a bill to be introduced by Senator Kohl, requiring target date fund managers to be ERISA fiduciaries as a condition of having the target date fund qualify as a qualified default investment option.
H.R. 424, "Retirement Account Distribution Improvement Act of 2009".
H.R. 1961, "Saving for American Families' Future Act of 2009".
H.R. 1984, "401(k) Fair Disclosure for Retirement Security Act of 2009".
H.R. 1988, "Conflicted Investment Advice Prohibition Act of 2009".
H.R. 2021, "Savings Recovery Act of 2009".
H.R. 2779, "Defined Contribution Fee Transparency Act of 2009".
H.R. 2989, "401(k) Fair Disclosure & Pension Security Act of 2009".
H.R. 3936, "Preserve Benefits and Jobs Act of 2009".
H.R. 4126, "Retirement Fairness Act of 2009".
Senate Committee on Aging: February 25, 2009, Hearing on the design and market volatility of target date and target maturity of funds in 401(k) plans - No Bill Number.
Treasury Department Explanation of the Administration's FY-2010 Budget proposals related to expansion of the 'Saver's Credit' and to the creation of 'Auto IRAs'. General Explanations of the Administrations FY-2010 Revenue proposals, Department of Treasury (May 2009) "Greenbook" - No Bill Number.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Kenneth |
Cohen |
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Camille |
Donald |
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Steven |
Pfrang |
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Alison |
Weiss |
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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
See Addendum
S. ____, "Restoring American Financial Stability Act" (11/10/09 discussion draft, prepared by Senator Dodd).
H.R. 2609, "The Insurance Information Act of 2009".
H.R. 3126, "Consumer Financial Protection Agency Act of 2009", relating to exclusions for insurance, securities and retirement plans.
H.R. 3795, "The Over-the-Counter Derivatives Markets Act".
H.R. 3817, "Investor Protection Act of 2009", Section 103.
H.R. 4173, "Wall Street Reform and Consumer Protection Act of 2009".
Treasury Department, "A New Foundation: Rebuilding Financial Supervision & Regulation", (June 17, 2009).
Treasury Department, Draft legislative proposals to further the Obama administration's financial services regulatory reform agenda - No Bill Number (July 22, 2009).
Discussion Draft of the "Over-the-Counter Derivatives Act of 2009", released by Rep. Barney Frank - No Bill Number (October 2, 2009).
Discussion Draft of the "Investor Protection Act of 2009", released by Rep. Paul Kanjorski - No Bill Number (October 1, 2009).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, Securities & Exchange Commission (SEC), 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 |
Kenneth |
Cohen |
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Alison |
Weiss |
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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
See Addendum.
S. 722, "The Taxpayer Certainty & Relief Act of 2009", provisions relating to estate taxes, capital gains and stock dividends.
S. 1297, "Retirement Security for Life Act of 2009".
S. 2784, A bill to ammend the Internal Revenue Code of 1986 to permanently extend the estate tax as in effect in 2009.
H.R. 2748, "Retirement Security Needs Lifetime Payment Act of 2009".
H.R. 3408, "Taxpayer Responsiblity, Accountability and Consistency Act of 2009", relating to a safe harbor for independent contractor status.
H.R. 3429, the "Generating Retirement Ownership Through Long-Term Holding Act" (Growth Act).
H.R. 3548, "Worker, Home Ownership and Business Assistance Act of 2009", P.L. No. 111-92 (November 6, 2009),
Section 13 (relating to elections to carry back net operating losses).
H.R. 3905, "Estate Tax Releif Act of 2009".
H.R. 4154, the "Permanent Estate Tax Relief for Families, Farmers and Small Businesses Act of 2009".
H.R. 4191, "Let Wall Street Pay for the Restoration of Main Street Act of 2009".
H.R. 4213, "Tax Extenders Act of 2009", Title V, relating to 'Foreign Account Tax Compliance'.
H.R. 4337, the "Regulated Investment Company Modernization Act of 2009".
Treasury Department Explanation of the Administrations FY-2010 Budget Tax proposals to (1) modify the dividends received deduction for life insurance company separate accounts; (2) reporting of sales of existing life insurance contracts with a death benefit of $1 million or more; (3) interest expense disallowance for corporate-owned life insurance (COLI) policies; and (4) international tax reforms. General Explanations of the Administration's FY-2010 Revenue Proposals, Department of Treasury (May 2009), "Greenbook" - No Bill Number.
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 |
Ann |
Cammack |
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Kenneth |
Cohen |
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Alison |
Weiss |
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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 |