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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 2901 TELESTAR COURT |
Address2 | |
City | FALLS CHURCH |
State | VA |
Zip Code | 22042 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 26901-12
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6. House ID# 302460000
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TYPE OF REPORT | 8. Year | 2008 |
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: Roland L. Panneton - Sr. Counsel |
Date | 10/17/2008 |
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
HR 2830 & 1783-The Pension Protection Act-NAIFA supports legislation allowing advisors who represent companies administering 401(k) type plans to give investment advice to employees participating in those plans.
HR 205 & S. 1010 - Retirement Security for Life Act would grant a federal tax exclusion up to $20,000 per year in lifetime payments from non-qualified annuuities - NAIFA supports.
HR. 2912 - Flexible Retirement for Life Act would grant the same exclusion as HR 819 but phase in the dollar amount starting at $1,000 in 2006 and increasing to $20,000 by 2015.
HR 2951 & 1359 - NAIFA supports tax incentives for both qualified and non-qualified annuities.
S-2794 - Senior Investor Protection Act of 2008 provides grants to states to address issues pertaining to the marketing and sale of financial products to senior citizens. NAIFA has concerns about several provisions in the bill.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President, Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
S.2059 would repeal Rule 12b-1 fees. NAIFA supports the continued payment of fees under SEC Rule 12b-1 to broker-dealers and registered representatives as compensation for providing continuing service to their mutual fund-owning clients.
FINRA Notice to Members (NTM) 05-50 recommended that its member broker-dealers supervise Equity Indexed Annuities sales made by the b/d's reg. reps. in the same manner as if the EIA were securities. NAIFA believes NASD has overstepped its authority.
SEC Proposed Rule (Release No. 33-8933, File No. S7-14-08) that would classify certain indexed annuities as securities.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President-Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 INS
16. Specific lobbying issues
Insurance Regulatory Reform - NAIFA supports principles underlying state regulation of insurance but also supports insurance regulatory reform and modernization that helps american families and businesses achieve financial security.
S.40 - The National Insurance Act would create an optional federal charter (OFC) for insurance companies and agents. NAIFA supports with conditions.
HR 107, S. 219, Life Insurance Employee Notification Act which would require disclosure of employee-owned life insurance coverage of an employee. NAIFA supports.
HR 2252 - NAIFA supports the COLI Best Practices Act, the House counterpart to S.219. House Resolution 912 & Senate Resolution 448 - Resolutions supporting "Life Insurance Awareness Month".
NAIFA supports these resolutions.
H.R. 1081, S. 618 - Insurance Industry Competition Act of 2007 will amend the McCarran-Ferguson Act to grant the FTC and DOJ authority to enforce federal antitrust laws against the state regulated insurance industry. NAIFA opposes this bill as it will create a non complicated, less efficient insurance regulatory regime.
HR 5611 - National Association of Registered Agents and Brokers Reform Act (NARAB II). NAIFA supports this proposal to improve state-based reciprocal licensing inefficiencies without creating a federal regulator.
HR 5840 - Would create an Office of Insurance Information within Department of Treasury. NAIFA supports.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
President Bush's Tax Advisory Panel reported its recommendations on November 2, 2005. NAIFA opposes ideas that encourage short term savings and spending such as the Lifetime Savings Accounts pushed by President Bush and Save for Retirement Accounts suggested by the Tax Advisory Panel.
Estate Tax - NAIFA supports immediate, fiscally sound, sustainable estate tax reform that removes the estate tax burden for 99.6% of Americans.
17. House(s) of Congress and Federal agencies Check if None
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
HR 1161, 62, 63 & 545, 6, 7 - new tax-advantaged savings plans in President Bush's proposed 2005 budget. NAIFA concerned about impact on life insurance and annuity sales.
HR 25, HR 411 - Legislation to make the estate tax repeal enacted in 2001 permanent. S 34 and S 135 are "reform" bills which would repeal estate tax on family farms and businesses. NAIFA & AALU support estate tax reform which removes the estate tax burden
for 99% of Americans.
HR2 - Fair Minimum Wage Act of 2007. Senate version of HR 2 caps the amount of annual income deferrable to the lesser of $1,000,000 per year on the average of the last 5 years salary. NAIFA opposes enactment of a cap on deferred compensation.
HR 5719 - NAIFA opposes the "Tax Payor Simplification Act".
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant, Gov't Relations |
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 CSP
16. Specific lobbying issues
HR 3997 & 2169 - Financial Data Protectioin Act of 2006. NAIFA supports laws to prevent identity theft, but is concerned that Congress could go too far and pass laws that conflict with existing privacy laws such as GLBA & FCRA. Also, any new security law should preempt sate law.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President-Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
HR 525 & S 406 - Association Health Plans. NAIFA opposes exempting AHP's from state benefit, regulatory oversight and solvency laws. S. 1995 allows AHP's to offer only issued plans that are subject to state solvency standards. Some regulatory oversight and an "average" of state mandated coverages.
NAIFA & AHIA is working with NAIC to strengthen the provisions in S. 1995.
HR 1150 & S. 602 - NAIFA supports these additional incentives to purchase LTCI including an above-the-line deduction for individual purchase of LTCI in S.602.
HR 118 - would provide generous tax credits to small businesses for providing health coverage to workers. NAIFA supports.
Health Care Choice Act - would allow health insurance insurers to choose one state and use that state's rules in all other states where they operate. NAIFA studying proposal.
S. 288 - The State High Risk Pool Funding Extension Act - NAIFA supports.
HR 176 & HR 1177 - would allow unused flexible spending arrangement funds to be carried over to the next year. NAIFA & AHIA favors this option.
HR 27 - An "Above the line" deduction for "higher deductible" health plans coupled with HSA's. NAIFA supports.
S.4 the Health American Act. NAIFA supports many provisions but concerned over the bills support for AHPs.
HR 37, S. 978, HR 1872, HR 2063, HR 3873 creates Health Savings Accounts. NAIFA supports.
HR 3511, S. 1569. NAIFA supports allowing states to establish LTC partnerships.
HR 6331 - Would cut funding for Medicare Advantage - NAIFA opposes.
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 |
Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Diane |
Boyle |
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Executive Vice President |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 EDU
16. Specific lobbying issues
HR 2622 - Fact Act signed into law December 4, 2003. NAIFA worked to include literacy provisions in the bill and will continue to work to secure funding for insurance and other financial literacy programs.
S. Res 602 - Would designate September 2008 as Life Insurance Awareness Month. NAIFA supports.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 DEF
16. Specific lobbying issues
HR 458 & S 418 - clarifies the jurisdictioin of state insurance regulators and the Dept. of Defense in regulating insurance agents who operate on-base. On September 29, 2006 President Bush signed the Military Personnel Financial Services Protection Act. NAIFA supports.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant |
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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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:
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
1 | 3 | 5 |
2 | 4 | 6 |
FOREIGN ENTITIES
27. Add the following foreign entities:
Name | Address |
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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 | 5 | 9 |
2 | 6 | 10 |
3 | 7 | 11 |
4 | 8 | 12 |