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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 270 Park Avenue |
Address2 |
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| City | New York |
State | NY |
Zip Code | 10017 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 401104236-12
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6. House ID# 434420001
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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: Timothy Berry |
Date | 10/22/2018 1:31:42 PM |
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
S.563; H.R.2874; S.1685; S.2155 - Discussed home mortgage loan modifications, foreclosures, servicing, and refinancing; discussed housing finance reform, FHA lending, and related issues; discussed flood insurance and related issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Executive Office of the President (EOP), Housing & Urban Development - Dept of (HUD)
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 |
Timothy |
Berry |
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Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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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 CSP
16. Specific lobbying issues
H.R.5993; S.2155 - Discussed consumer protection and privacy issues related to financial services and products.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC)
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 |
Timothy |
Berry |
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Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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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.1624; H.R.1667; H.R.3179; H.R.3439; S.2155; H.R.4292; H.R.4296; H.R.4293; H.R.2319; H.R.3978; H.R.2121; H.R.4790; H.R.4659; H.R.5749; H.R.5961; H.R.6258; H.R.6068; H.R.6157; H.R.6147; H.R.6757; H.R.3555; H.R. 5282; S.3107; S.2526; S.2499; H.R.2319 - Discussed implementation of the Basel capital accord and issues related to capital and liquidity. Discussed margin issues; CFTC reauthorization; and SEC and equity market structure reform. Discussed proposals related to bank structure, capital requirements, capital formation, market structure, and market liquidity, and proxy voting issues. Discussed issues related to financial institution bankruptcy reform, including issues related to resolution and recovery under the Bankruptcy Code. Discussed access to capital for emerging growth companies. Discussed budget and revenue measures involving the financial services sector. Discussed the recommendations from the Treasury Financial Reports. Discussed treatment of municipal securities. Discussed BSA/AML. Discussed retirement savings issues. Discussed SEC's Best Interest Rule. Discussed money market reform. Discussed issues around financial technology policy.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Executive Office of the President (EOP), Securities & Exchange Commission (SEC), Natl Economic Council (NEC), Federal Reserve System, 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 |
Timothy |
Berry |
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Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Jack |
Bartling |
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Hilary |
West |
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Alyssa |
Marois |
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Shannon |
Boozman |
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Kathleen |
Carlson |
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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 HOM
16. Specific lobbying issues
H.R.4036 - Discussed proposals related to cyber security, data protection, and notification issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Homeland Security - Dept of (DHS)
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 |
Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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Shannon |
Boozman |
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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 SMB
16. Specific lobbying issues
Discussed Small Business lending issues and access to capital for veterans.
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 |
Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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Shannon |
Boozman |
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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
H.R.3860 - Discussed various issues related to corporate and international tax reform including opportunity zones. Discussed IRS administration reform.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Executive Office of the President (EOP), Natl Economic Council (NEC)
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 |
Timothy |
Berry |
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Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Shannon |
Boozman |
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Alyssa |
Marois |
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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 VET
16. Specific lobbying issues
Discussed Veterans training and hiring.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Executive Office of the President (EOP)
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 |
Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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Shannon |
Boozman |
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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 LBR
16. Specific lobbying issues
Discussed issues impacting workforce development and career and technical education.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Executive Office of the President (EOP)
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 |
Jason |
Rosenberg |
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John |
Van Etten |
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Michelle |
Mesack |
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Hilary |
West |
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Alyssa |
Marois |
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Shannon |
Boozman |
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Kathleen |
Carlson |
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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 TRD
16. Specific lobbying issues
Discussed issues related to international trade.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Executive Office of the President (EOP), Natl Economic Council (NEC), 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 |
Timothy |
Berry |
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Jason |
Rosenberg |
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Jack |
Bartling |
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Shannon |
Boozman |
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John |
Van Etten |
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Michelle |
Mesack |
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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
| Address |
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21. Client new principal place of business (if different than line 20)
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State |
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Zip Code |
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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 |